About

Thornton and Associates, LLC was founded and is staffed by former NASD/FINRA examiners and industry professionals who have assisted hundreds of broker dealers with their compliance needs. Our firm provides customized regulatory and compliance services to FINRA member broker dealers and SEC/state registered investment advisers.

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

Having a qualified expert at your side to assist your firm in navigating through the regulatory waters can be a valuable asset. Thornton & Associates, LLC’s consultants are experts in all areas of broker dealer regulatory compliance. Whether you desire a complete Compliance Package or need assistance on an hourly basis, Thornton & Associates, LLC can satisfy all of your compliance consulting needs.

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