Nicholas Lee Elrod at TRANSAMERICA FINANCIAL ADVISORS, INC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 7370834
Nicholas Lee Elrod is an Investment Adviser, associated with TRANSAMERICA FINANCIAL ADVISORS, INC located at GREENWOOD VILLAGE, CO. Nicholas Elrod’s Central Registration Depository (CRD) number is 7370834 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for Nicholas Elrod

    • Event Date: 4/12/2016
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: Theft $50-300
    • Disposition: Dismissed
    • Broker Comment: I was a freshman in college at the time, and I attempted to steal an assortment of cold/sickness remedies (medicine, cough drops, etc) from the University of Colorado book store. I was broke at the time and embarrassed to as k any parents/friends for financial help. I was overwhelmed between school amp; pledging a fraternity and had a significant lapse in judgement from which I’ve learned greatly.
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Should I file a FINRA complaint against brokers like Nicholas Lee Elrod?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by Nicholas Lee Elrod’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About Nicholas Lee Elrod

What is Nicholas Elrod's Central Registration Depository (CRD) Number?

7370834

Which firm is Nicholas Lee Elrod associated with?

TRANSAMERICA FINANCIAL ADVISORS, INC

Where is Nicholas Elrod located?

5350 S. ROSLYN STREET, GREENWOOD VILLAGE, CO, 80111

Where can I find more details about Nicholas Elrod's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/16164 to read a detailed report for TRANSAMERICA FINANCIAL ADVISORS, INC

Are there any disclosures, allegations or complaints filed against Nicholas Lee Elrod?

Yes. There are disclosures, allegations, or complaints filed against Nicholas Lee Elrod. Click here to view all details

Where can I download a detailed FINRA report for Nicholas Elrod?

Click here to download a detailed FINRA report for Nicholas Elrod

Is it safe to do business with Nicholas Lee Elrod?

We’re not sure. Please research Nicholas Elrod’s disclosures, allegations and complaints before taking a decision

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Originally posted on November 17, 2022 @ 8:50 pm

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