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 |
|---|---|---|---|---|---|---|---|---|
| Gary Charles Farmer | 1968975 | 7 | 05/07/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel J Charlier | 3104464 | 25 | 04/16/2009 | Customer Dispute | Denied | $34,000.00 | $0.00 | See FINRA Report |
| Diane M Larson | 3213218 | 2 | 04/09/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Shawn McCormack | 4055624 | 3 | 04/09/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy A Francis | 2381858 | 6 | 04/07/2009 | Customer Dispute | Denied | $123,838.00 | $0.00 | See FINRA Report |
| Barry Charles King | 3128658 | 9 | 04/06/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Quentin McGowan | 4753698 | 2 | 04/03/2009 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Anthony Gurrieri | 2974522 | 3 | 03/31/2009 | Customer Dispute | Denied | $10,100.00 | $0.00 | See FINRA Report |
| Fidel Anthony Castro | 6066573 | 5 | 03/19/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Clement Lyle | 2418644 | 5 | 03/13/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |