MARK NELSON TORO

MARK NELSON TORO is currently employed as a Broker and/or Investment Adviser at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC located at 14055 RIVEREDGE DRIVE, SUITE 320, TAMPA, FL, 33637.

MARK NELSON TORO has worked at TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC since December 16, 2016

Disclosure History

MARK NELSON TORO has 1 Disclosure Event(s).

Date: May 15, 2013
Category: Customer Dispute
Allegations: THE CLIENT ALLEGES THAT THE ANNUITY SHE PURCHASED IS UNSUITABLE BASED ON HER AGE AND LIFE EXPECTANCY. (3/19/13)
Broker Comment: I DENY THE ALLEGATIONS. CAREFUL CONSIDERATION OF THE CLIENTS PERSONAL GOALS, PREFERENCES AND FINANCIAL PROFILE WERE TAKEN INTO ACCOUNT WHEN PRESENTING PRODUCT OPTIONS. I MET WITH THE CLIENT SEVERAL TIMES OVER A ONE MONTH TIME HORIZON INCLUDING A MEETING WITH HER DAUGHTER.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for MARK NELSON TORO, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.