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 |
|---|---|---|---|---|---|---|---|---|
| Gary Leonard Ziegler | 2492826 | 2 | 10/20/2003 | Customer Dispute | Denied | $20,257.00 | $0.00 | See FINRA Report |
| Cong Tien Duong | 2902675 | 1 | 10/09/2003 | Customer Dispute | Settled | $6,772.29 | $0.00 | See FINRA Report |
| Sara Blatt Collins | 2921061 | 4 | 10/06/2003 | Customer Dispute | Denied | $6,852.06 | $0.00 | See FINRA Report |
| Bryce Johnson Winkel | 2108104 | 3 | 10/01/2003 | Customer Dispute | Denied | $13,594.50 | $0.00 | See FINRA Report |
| Andy Weng | 2869711 | 5 | 09/29/2003 | Customer Dispute | Denied | $11,187.00 | $0.00 | See FINRA Report |
| Andy Weng | 2869711 | 5 | 09/23/2003 | Customer Dispute | Denied | $18,348.10 | $0.00 | See FINRA Report |
| Gary Charles Farmer | 1968975 | 7 | 08/15/2003 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Timothy A Francis | 2381858 | 6 | 08/14/2003 | Customer Dispute | Denied | $77,901.20 | $0.00 | See FINRA Report |
| Conrad Doyle Yanguba | 3132499 | 2 | 08/12/2003 | Customer Dispute | Denied | $23,500.00 | $0.00 | See FINRA Report |
| Dawn Aldithmarie Nelson | 3036708 | 2 | 07/31/2003 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |