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 |
|---|---|---|---|---|---|---|---|---|
| Carl David Kennedy | 1162865 | 4 | 08/15/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Marc David Guerra | 1230885 | 3 | 08/15/2005 | Customer Dispute | Denied | $5,472.00 | $0.00 | See FINRA Report |
| Tan Huy Nguyen | 2569234 | 3 | 08/15/2005 | Customer Dispute | Denied | $64,562.70 | $0.00 | See FINRA Report |
| Marcella Marie Blochowiak | 2319151 | 5 | 07/14/2005 | Customer Dispute | Denied | $6,963.00 | $0.00 | See FINRA Report |
| Daniel J Charlier | 3104464 | 25 | 06/22/2005 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jonathan S Yu | 4573681 | 1 | 06/17/2005 | Customer Dispute | Settled | $11,700.00 | $0.00 | See FINRA Report |
| Gary Charles Farmer | 1968975 | 7 | 04/06/2005 | Customer Dispute | Denied | $62,551.90 | $0.00 | See FINRA Report |
| Rinico Weldon Sawyer | 1477782 | 4 | 03/01/2005 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Francisco Javier Nunez | 4883248 | 2 | 02/26/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lucinda D Alcott | 1658629 | 3 | 02/10/2005 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |