Thornton & Associates, LLC

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About Thornton & Associates, LLC

Thornton & Associates, LLC's consultants have provided customized compliance solutions the 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.

Compliance Training

Welcome to Thornton & Associates’ Continuing Education Training web portal. We are proud to offer you content that is both relevant and timely. Our compliance training partner, Quest CE, has curriculum that covers a broad spectrum of topics important to today's compliance professional. Some of the topics covered in their library include: Anti-Money Laundering, Social Media, Private Placements, Ethics as well as general securities products such Variable Annuities, Mutual Funds, Asset Allocation, Retirement Planning, Long Term Care, 529 Plans, Suitability and Disability Income Insurance.

Contact Information

For more information about Thornton & Associates’ compliance consulting and FinOp services, please contact us at (626) 356-0200 or visit us online at