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 |
|---|---|---|---|---|---|---|---|---|
| Victor Torres Salvador | 2772375 | 2 | 11/06/2006 | Customer Dispute | Denied | $7,621.00 | $0.00 | See FINRA Report |
| Jihad Saleh Rammouni | 3151015 | 3 | 10/20/2006 | Customer Dispute | Denied | $13,000.00 | $0.00 | See FINRA Report |
| Brian Michael Taylor | 3170103 | 3 | 10/17/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Michael Taylor | 3170103 | 3 | 10/13/2006 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Diane Bich Chau | 3006111 | 2 | 10/04/2006 | Customer Dispute | Denied | $19,431.20 | $0.00 | See FINRA Report |
| Vuthy Eng Kuoch | 2350729 | 1 | 09/21/2006 | Customer Dispute | Denied | $7,023.00 | $0.00 | See FINRA Report |
| Hehui Zhang | 4333596 | 2 | 09/21/2006 | Customer Dispute | Settled | $11,000.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 09/13/2006 | Customer Dispute | Closed-No Action | $11,280.00 | $0.00 | See FINRA Report |
| Jean Michel Gerard Leuregans | 5183994 | 1 | 09/12/2006 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kim Broge Rasmussen | 4262506 | 2 | 09/11/2006 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |