Thornton & Associates LLC

Thornton and Associates provides customized regulatory and compliance services to FINRA member broker dealers and SEC/State Registered Investment Advisers.

We understand the difficulties that broker dealers and RIAs encounter as they try to run and grow their business while simultaneously maintaining compliance with SEC, state and FINRA rules and regulations.

For more information about our customized compliance services, please contact us at (877) 542-6759.

Our Services include:

• Broker Dealer Compliance Consulting
• Investment Adviser Compliance Consulting
• Anti-Money Laundering Compliance and Testing
• FinOp Services
• RIA Applications
• FINRA New Member Applications
• FINRA Rule 3110(e) Background Checks
• Online Continuing Education