Experience

Dominari Securities
• United States
• Financial Services
• 1 - 100 Employee
• Principal

  • Apr 2023 - Present

MJC Partners
• United States
• Investment Banking
• 1 - 100 Employee
• Chief Compliance Officer & FinOp

  • Mar 2015 - Present

Collins / Bay Island Securities
• Investment Management
• 1 - 100 Employee
• Chief Compliance Officer

  • Jul 2014 - Present

Avendus Capital Inc.
• United States
• Financial Services
• 1 - 100 Employee
• Chief Compliance Officer

  • Sep 2013 - Present

BDO Capital Advisors, LLC
• United States
• Investment Banking
• 1 - 100 Employee
• Financial & Operations Principal

  • Jul 2009 - Present

Valtus Capital Group
• United States
• Financial Services
• 1 - 100 Employee
• Chief Compliance Officer & FinOp

  • Apr 2008 - Present


Thornton & Associates, LLC

• United States
• Financial Services
• 1 - 100 Employee

• President

  • Oct 2006 - Present

  Thornton and Associates, LLC was founded and is staffed by former NASD/FINRA examiners and industry professionals who have assisted hundreds of broker dealers with their compliance needs. Our firm provides customized regulatory and compliance services to the small to medium size broker dealer. We understand the difficulties that broker dealers encounter as they try to run and grow their business while simultaneously attempting to maintain compliance with SEC, state and FINRA rules and regulations.Having a qualified expert at your side to assist your firm in navigating through the regulatory waters can be a valuable asset. Thornton & Associates, LLC’s consultants are experts in all areas of broker dealer regulatory compliance. Whether you desire a complete Compliance Package or need assistance on an hourly basis, Thornton & Associates, LLC can satisfy all of your compliance consulting needs.For more information about our customized compliance services, please contact us at (877) 542-6759. Show less

• President

  • Sep 2006 - Present