Additional Information

  • Categories: Financial Advisors & Planners, Business Brokers, Securities Lawyers
  • Payment Options: American Express, Check, MasterCard, Visa

Hours

  • Regular Hours
    Sunday
    09:00 AM - 05:00 PM
    Monday
    09:00 AM - 05:00 PM
    Tuesday
    09:00 AM - 05:00 PM
    Wednesday
    09:00 AM - 05:00 PM
    Thursday
    09:00 AM - 05:00 PM
    Friday
    09:00 AM - 05:00 PM
    Saturday
    09:00 AM - 05:00 PM
  • Add'l Hours Info: 8:00am PST - 5:00pm PST

About Us

  • 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