To better service our clients, Thornton & Associates, LLC has established numerous partnerships and referral arrangements with other compliance related service providers. If you are interested in establishing a relationship with Thornton & Associates, please contact us at (877) 542-6759 or click here to email us.
Global Relay is the leading provider of cloud-based electronic message archiving, supervision, and eDiscovery solutions for the global financial sector. Global Relay’s 20,000 customers in 90 countries include 22 of the top 25 global banks. Global Relay Archive securely captures and preserves email, instant messaging, mobile messaging, Bloomberg, Thomson Reuters, Twitter, LinkedIn, Facebook and more — with BlackBerry, iPhone, iPad, Android, Outlook and Web access. Global Relay is the Message Archiving Vendor in FINRA's Compliance Resource Provider Program. Global Relay has strategic partnerships worldwide, including an exclusive global Strategic Partnership for Thomson Reuters Messaging.
Kaplan Financial Education leads the financial education industry with the most study tools and delivery methods available from any single provider; including self-study, live classroom, and online options. Our dedication to education can be seen in our learning strategy, known as the Kaplan Way. Our faculty and instructors are not just experienced academics...they're practitioners who know what it takes to pass the exams and succeed in the real world. Offering exam prep and continuing education for insurance licensing, securities, and CFP® certification, Kaplan gives your team an edge in a competitive world.
For over twenty-five years, Quest CE has been the premier provider of compliance training and tracking solutions to the financial services industry. In addition to offering on-demand insurance and designation continuing education, Quest CE provides a complete spectrum of proprietary technology solutions for managing and supervising compliance risk exposures. Serving more than 1,000 leading insurance carriers, broker-dealers, banks, and other financial institutions, Quest CE is committed to providing advanced custom solutions at cost effective rates, while providing a level of service that greatly surpasses that of our competitors. Quest CE is the single source solution for organizations seeking training and compliance needs. For more information on Quest CE, visit http://www.questce.com.
Alliance Worldwide Investigative Group is a fully licensed, bonded and insured risk mitigation partner specializing in pre- and post-employment background investigations. The company focuses on assisting compliance, human resource, risk management, and legal professionals mitigate loss and make informed decisions. Alliance Worldwide Investigative Group is an industry expert on FINRA Rule 3110 and provides background investigations that meet or exceed SEC and FINRA compliance regulations. In addition the firm conducts quarterly informative webinars concerning industry best practices. A member of the National Association of Professional Background Screeners (NAPBS), key Alliance Worldwide Investigative Group staff members have received NAPBS Fair Credit Reporting Act (FCRA) Basic Certification. The company lives its Brand Promise, which is to Inspire Confidence in its unique approach.
Mercer Consumer, a service of Mercer Health & Benefits Administration LLC, is the market leader in providing risk management and customized insurance solutions. We are consistently recognized as a leading provider of insurance solutions to the securities and financial services industries and have been a FINRA® compliance resource provider for more than 30 years. Through our best-in-class practices, exceptional market expertise, claims advocacy, dedicated customer service team and competitive rates, you will receive a wealth of services unparalleled in the financial services industry. Our products include Fidelity Bonds, Errors & Omissions Liability, Cyber/Privacy Liability, Directors & Officers Liability, Fiduciary Liability, STAMP Bonds, Surety Bonds, ERISA First- and Third-Party Bonds to name a few. Contact us today at 1 800 978 6273 or visit us online at http://www.brokerdealercoverage.com/.