Steven L. Thornton Email & Phone Number

Steven L. Thornton is President and founder of Thornton & Associates, LLC. Mr. Thornton has over 27 years of securities compliance, auditing and accounting experience specializing in all areas of regulatory compliance. As a former NASD/FINRA examiner, a General Securities Principal and a Financial and Operations Principal for over 80 broker dealers, he has extensive experience with SEC, NASD and MSRB rules and regulations. He also maintains the Series 7 (General Securities Representative), Series 24 (General Securities Principal), Series 55 (Equity Trader), Series 79 (Investment Banking) and Series 28 (Financial and Operations Principal) licenses.Prior to forming Thornton & Associates, LLC, Mr. Thornton held a position as Senior Compliance Examiner with the National Association of Securities Dealers (NASD Regulation, Inc.) where he conducted complex trading and market making examinations and initiated investigations of NASD member firms and registered representatives for compliance with SEC, NASD, MSRB and other regulatory guidelines. While with the Association, he was a member of the NASD Regulation Examination Committee where he assisted in the development of trading and market making audit procedures and the restructuring of the new-hire regulatory training program. He received national recognition as the recipient of the prestigious NASD President's Award that recognizes outstanding service as a securities examiner. In 2008 he was requested by FINRA to participate in the pilot program for the development of the new FINRA New Member Application Program. In 2009 Mr. Thornton was elected to the FINRA District 2 Los Angeles Business Conduct Committee.Mr. Thornton received his Bachelor of Science Degree from California State University, Northridge with a major in Finance.Specialties: General FINRA Broker Dealer ComplianceFinancial and Operations Principal RegistrationFINRA New Member ApplicationsMoney Laundering ComplianceInternal Compliance Examinations

Listed skills include Hedge Funds, Securities, Finra, Auditing, and 15 others.