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 | 04/10/2000 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Tam Nguyen Vu | 1447631 | 2 | 04/06/2000 | Customer Dispute | Pending | $4,500.00 | $0.00 | See FINRA Report |
| Richard Brian Cutler | 1498430 | 1 | 03/17/2000 | Customer Dispute | Withdrawn | $7,000.00 | $0.00 | See FINRA Report |
| Shawn D Drake | 5076754 | 2 | 03/06/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Lydia Camello Legaspi | 2681580 | 3 | 03/06/2000 | Customer Dispute | Closed-No Action | $17,157.60 | $0.00 | See FINRA Report |
| Teresita Dispo Del Rosario | 2551271 | 6 | 12/21/1999 | Customer Dispute | Closed-No Action | $18,500.00 | $0.00 | See FINRA Report |
| Ambartsum Bart Balikyan | 2510806 | 1 | 12/09/1999 | Customer Dispute | Closed-No Action | $5,700.00 | $0.00 | See FINRA Report |
| Nicholas Allen Lancaster | 5915773 | 2 | 11/10/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robin Jay Bundy | 1201496 | 6 | 11/02/1999 | Customer Dispute | Denied | $7,635.00 | $0.00 | See FINRA Report |
| James Gilbert Mardock | 2250368 | 2 | 10/20/1999 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |