CRD #36195 · FINRA BrokerCheck + SEC IAPD

THE Thornwater Company, L.P.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Thornwater Company, L.P. ranks #362 of 20,055 by disclosure count (most disclosures first). THE Thornwater Company, L.P. carries 18 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade F.

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Grade F
Safety grade
0
branch offices
18
disclosures
#362 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 36195 THE Thornwater Company, L.P.

THE Thornwater Company, L.P. · Grade F · 18 disc · 18.00/office · Single-office firm

  • CRD 36195
  • GRADE F
  • DISC 18
  • REG 16
  • ARB 1
  • CIV 1
  • BRANCH 0
  • PER-OFF n/a
  • RANK #362 of 20,055
  • BOOK Single-office firm

Intensity peers

Nearest same-size peer: ABN Amro Securities LLC (18.00 disc/office)

ABN Amro Securities LLC18.00Aletheia Securities, Inc.,18.00BNP Paribas Prime Broke…18.00THE Thornwater Comp… (this)18.00
Disclosures per office among single-office firm peers (lower is cleaner)

THE Thornwater Company, L.P. ranks #362 of 20,055 by disclosure count among graded broker-dealers; heavy load at 18.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 1/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

0 offices

FINRA: Small firm

Total disclosures

18 events

On FINRA BrokerCheck

Regulatory events

16 actions

89% of all disclosures

Disclosures per office

- per office

footprint not reported

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 16
Arbitrations 1
Civil Events 1
Total 18

Counts for THE Thornwater Company, L.P. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 16 Arbitration 1 Civil 1

Firm Details

Firm Size
Small
Scope
INACTIVE
Formed
12/01/1993
State of Formation
New York
CRD Number
36195
SEC Number
47178

Regulator-heavy mix

THE Thornwater Company, L.P. in the heavier-disclosure third

THE Thornwater Company, L.P. carries 18 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#362 of 20,055). Regulator-initiated events are 89% of the book (16 regulatory / 1 arbitration / 1 civil).

89% of THE Thornwater Company, L.P.'s 18 disclosures are regulator-initiated (16 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of THE Thornwater Company, L.P.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does THE Thornwater Company, L.P. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Thornwater Company, L.P. ranks #362 of 20,055 by disclosure count (most disclosures first). Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of F mean for THE Thornwater Company, L.P.?
A grade of F reflects THE Thornwater Company, L.P.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 18 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does THE Thornwater Company, L.P. have?
THE Thornwater Company, L.P. has 18 total FINRA disclosures, including 16 regulatory events, 1 arbitration, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is THE Thornwater Company, L.P.?
THE Thornwater Company, L.P. operates 0 branch offices and is classified by FINRA as a small firm (Single-office firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify THE Thornwater Company, L.P.'s disciplinary record?
You can verify THE Thornwater Company, L.P.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36195. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). THE Thornwater Company, L.P.'s 18 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid THE Thornwater Company, L.P. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. THE Thornwater Company, L.P. carries 18 disclosures across 0 branch offices (about 18.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.

Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.