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 |
|---|---|---|---|---|---|---|---|---|
| Shkira Singh | 4318894 | 3 | 10/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jun Tang | 5308062 | 1 | 09/20/2021 | Customer Dispute | Denied | $9,416.00 | $0.00 | See FINRA Report |
| Liuyan Baker | 5520518 | 1 | 09/20/2021 | Customer Dispute | Denied | $9,416.00 | $0.00 | See FINRA Report |
| Toon Fuhtrakoon | 6633259 | 2 | 09/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Adrian Laertes Goram | 7575962 | 4 | 08/30/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Angie Tzou | 7466372 | 2 | 08/26/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ryan Jay Bundy | 4750750 | 3 | 08/17/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michelle P Lee | 2921757 | 4 | 07/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Paul Hadowanetz | 4277622 | 7 | 07/14/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Isaac Raphael Norman | 7287180 | 1 | 06/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |