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 |
|---|---|---|---|---|---|---|---|---|
| Mark Alan Gaylord | 869950 | 6 | 03/12/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Aaron Dennison Peters | 2843908 | 1 | 02/25/2009 | Customer Dispute | Denied | $17,236.80 | $0.00 | See FINRA Report |
| Geqin Zhang | 4359691 | 1 | 02/09/2009 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |
| Dana Leigh Lagattuta | 2993894 | 1 | 02/05/2009 | Customer Dispute | Denied | $10,456.20 | $0.00 | See FINRA Report |
| Mark Allen Winsor | 2124151 | 3 | 01/20/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gohar Asatryan | 6641540 | 1 | 01/12/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jeff Mao Hsiao | 4478088 | 3 | 01/01/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven Kent Adams | 1527744 | 1 | 12/19/2008 | Customer Dispute | Settled | $84,894.70 | $0.00 | See FINRA Report |
| Jazmin Bernal-Ramos | 4415617 | 1 | 12/15/2008 | Customer Dispute | Denied | $18,992.90 | $0.00 | See FINRA Report |
| Rocky Darin Pavone | 2511439 | 1 | 12/01/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |