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 |
|---|---|---|---|---|---|---|---|---|
| Willie Caldwell | 2097325 | 15 | 04/13/2004 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Alan R Wilde | 2329440 | 1 | 04/12/2004 | Customer Dispute | Denied | $7,703.01 | $0.00 | See FINRA Report |
| Tagui Siroyan | 3104428 | 1 | 04/07/2004 | Customer Dispute | Denied | $8,600.00 | $0.00 | See FINRA Report |
| Christopher M Janik | 4902195 | 2 | 03/09/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tam Nguyen Vu | 1447631 | 2 | 03/09/2004 | Customer Dispute | Denied | $11,500.00 | $0.00 | See FINRA Report |
| Laura Luong | 2669069 | 5 | 02/27/2004 | Customer Dispute | Withdrawn | $5,506.36 | $0.00 | See FINRA Report |
| Conrad Doyle Yanguba | 3132499 | 2 | 02/27/2004 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Yong Hong Koh | 3218915 | 1 | 12/09/2003 | Customer Dispute | Denied | $8,302.61 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 12/05/2003 | Customer Dispute | Denied | $8,750.00 | $0.00 | See FINRA Report |
| Bayani Evengelista Vallesteros | 2885404 | 1 | 11/18/2003 | Customer Dispute | Denied | $43,113.70 | $0.00 | See FINRA Report |