Thornton & Associates, Llc

Thornton & Associates, LLC’s consultants have provided customized compliance solutions to FINRA member broker dealers since 2001. Our clients have ranged from one-person owner operators to multi-million dollar corporations. Our staff is comprised of industry professionals who possess a unique combination of expertise both as regulators and as seasoned registered representatives. Whether you are a start up firm that needs to develop written policies and procedures for the registration process, or an established firm that requires a mock audit, or assistance in maintaining your procedures, TAA provides a complete range of services that are customized to keep you in compliance. Our goal is to ensure that our clients are protected and positioned to face a regulatory audit with confidence and complete understanding.