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 |
|---|---|---|---|---|---|---|---|---|
| Shahnaz Mokhtari | 4270263 | 2 | 01/19/2005 | Customer Dispute | Denied | $7,143.44 | $0.00 | See FINRA Report |
| Kevin James Larsen | 4186414 | 2 | 01/05/2005 | Customer Dispute | Denied | $24,345.90 | $0.00 | See FINRA Report |
| Cheryl K Wellner | 3195063 | 2 | 12/10/2004 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Anthony Gurrieri | 2974522 | 3 | 11/19/2004 | Customer Dispute | Denied | $52,287.90 | $0.00 | See FINRA Report |
| Teresita Dispo Del Rosario | 2551271 | 6 | 11/16/2004 | Customer Dispute | Denied | $17,700.00 | $0.00 | See FINRA Report |
| Maria Lina Campos Deleon | 2544972 | 1 | 11/08/2004 | Customer Dispute | Denied | $15,500.00 | $0.00 | See FINRA Report |
| Zhaohui Connie Chen | 4180444 | 3 | 10/12/2004 | Customer Dispute | Denied | $7,994.51 | $0.00 | See FINRA Report |
| Troy R Spencer | 2161650 | 1 | 09/22/2004 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Tracy Tsuey Jyu Chiang | 2768539 | 1 | 09/21/2004 | Customer Dispute | Settled | $6,377.00 | $0.00 | See FINRA Report |
| Michael Shawn McCormack | 4055624 | 3 | 09/21/2004 | Customer Dispute | Settled | $5,600.00 | $0.00 | See FINRA Report |