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 |
|---|---|---|---|---|---|---|---|---|
| Sean M Bazewicz | 4741382 | 2 | 03/08/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Frederick Pearson | 2142858 | 3 | 01/01/1988 | Civil Bond | $0.00 | $0.00 | See FINRA Report | |
| Robert B Forney | 5102537 | 6 | 10/24/1984 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Norman Lamont Dunbar | 1446196 | 4 | 08/13/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Roger Lee Williams | 5585391 | 1 | 04/27/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cheryl Faye Brown | 2883524 | 1 | 03/02/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles David Kreider | 1065388 | 2 | 05/20/1980 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Anita Deloris Moore | 4988723 | 1 | 09/27/1977 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cheryl K Wellner | 3195063 | 2 | 10/25/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Luis Manuel Dominguez | 3126299 | 1 | 06/20/1973 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |