Our Staff has compiled our research into a database of FINRA Broker Disclosures for Transamerica Financial Advisors, Inc. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Randolph Smarr Miller | 6140094 | 1 | 12/10/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shkira Singh | 4318894 | 3 | 12/09/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Wineka Puspowardojo Boendi | 4119674 | 1 | 12/07/2009 | Customer Dispute | Settled | $5,901.47 | $0.00 | See FINRA Report |
| Ericka Lynette Towe | 4222099 | 1 | 10/02/2009 | Customer Dispute | Denied | $87,632.00 | $0.00 | See FINRA Report |
| Kelly Sivilai Le | 2624569 | 1 | 09/21/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Hehui Zhang | 4333596 | 2 | 09/17/2009 | Customer Dispute | Denied | $13,700.00 | $0.00 | See FINRA Report |
| Andy Weng | 2869711 | 5 | 09/14/2009 | Customer Dispute | Denied | $70,963.00 | $0.00 | See FINRA Report |
| Yaobang Wu | 4427979 | 1 | 09/01/2009 | Customer Dispute | Denied | $10,340.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 08/21/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Maria Ayala | 4630369 | 1 | 08/06/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |