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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 at (877) 542-6759.
Our staff are experts in the Anti-Money Laundering Compliance. Our AML services include:
Our customized compliance packages are designed to fit your firm’s specific regulatory needs:
Our staff of Series 27/28 licensed professionals have decades of financial and regulatory experience who can provide your firm with:
Regulatory Notice 20-04 Summary: FINRA’s CAB rules provide a simplified rulebook...
Information Notice – 1/23/20 Summary: The United States Department of Homeland ...
Regulatory Notice 20-01 Summary: FINRA is issuing this Notice to help firms review...