Welcome to Thornton & Associates

Thornton & Associates, LLC was founded and is staffed by former NASD/FINRA examiners and compliance professionals. 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 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 or call us at (877) 542-6759.

FINRA New Member Applications

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Anti-Money Laundering Services

Our staff are experts in the Anti-Money Laundering Compliance.  Our AML services include:

  • AML Independent Testing
  • Money Laundering Procedures
  • AML Training
  • SAR Filings
  • AML Risk Assessment
  • Rule 314(a) FinCEN Reviews

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Broker Dealer Compliance Solutions

Our customized compliance packages are designed to fit your firm’s specific regulatory needs:

  • Internal Audits (3110, 3120/3130, Privacy, etc.)
  • Written Supervisory Procedures
  • FINRA/SEC/State Exam prep
  • CRD Filings (Form BD, U4, U5, BR, etc.)

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FinOp Registration

Our staff of Series 27/28 licensed professionals have decades of financial and regulatory experience who can provide your firm with:

  • FinOp Registration
  • FOCUS, SSOI, SIS, & BD Custody Filings
  • Net Capital Preparation
  • SIPC Assessment Filings

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