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 |
|---|---|---|---|---|---|---|---|---|
| David Kilpatrick | 7919849 | 1 | 05/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ronald Edward Wilson | 1449510 | 1 | 04/21/1998 | Customer Dispute | Closed-No Action | $1,500.00 | $0.00 | See FINRA Report |
| Bobby Allen Gaston | 1708187 | 2 | 01/20/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Koo | 2308793 | 2 | 01/05/1998 | Customer Dispute | Denied | $5,002.00 | $0.00 | See FINRA Report |
| Roanna Zhaojing Lun | 7734407 | 1 | 09/26/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Pham | 2447712 | 5 | 09/25/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steve Tien Cao | 1450293 | 1 | 09/10/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Palmeri | 5262802 | 3 | 06/17/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rudy Lasry | 4530893 | 6 | 03/06/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ann Lao | 4600343 | 1 | 03/01/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |