Branch offices
0 offices
FINRA: Small firm
Data sourced from FINRA BrokerCheck public records. Disclosures reflect reported events, not proven violations. Verify at BrokerCheck ↗
CRD #40868 · FINRA BrokerCheck + SEC IAPD
Thornes & Associates, Inc. Investment Securities
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Thornes & Associates, Inc. Investment Securities ranks #1,558 of 20,055 by disclosure count (most disclosures first). Thornes & Associates, Inc. Investment Securities carries 5 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 5
- disclosures
- #1,558 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 40868 Thornes & Associates, Inc. Investment Securities
Thornes & Associates, Inc. Investment Securities · Grade C · 5 disc · 5.00/office · Single-office firm
- CRD 40868
- GRADE C
- DISC 5
- REG 4
- ARB 1
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #1,558 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: 1717 Capital Management Company (5.00 disc/office)
Thornes & Associates, Inc. Investment Securities ranks #1,558 of 20,055 by disclosure count among graded broker-dealers; heavy load at 5.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 3/5 - 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
Total disclosures
5 events
On FINRA BrokerCheck
Regulatory events
4 actions
80% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 4 |
| Arbitrations | 1 |
| Civil Events | 0 |
| Total | 5 |
Counts reflect events reported on FINRA BrokerCheck. Disclosures are reported events, not proven violations. Verify at BrokerCheck ↗
Disclosure category share
Regulatory 4 Arbitration 1 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- CRD Number
- 40868
Verify at FINRA BrokerCheck
FINRA BrokerCheck provides the full official disciplinary record, including individual registered advisors. Always verify before hiring a financial advisor.
View on FINRA BrokerCheck ↗What the Record Says About Thornes & Associates, Inc. Investment Securities
Thornes & Associates, Inc. Investment Securities (broker-dealer, CRD# 40868) operates 0 branch offices - a single-office firm (FINRA: small), scope INACTIVE.
BrokerCheck shows 5 disclosures as of July 2026: 4 regulatory (80%), 1 arbitration, 0 civil. Letter grade C (3/5 internal scoring). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does Thornes & Associates, Inc. Investment Securities sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Thornes & Associates, Inc. Investment Securities ranks #1,558 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 C mean for Thornes & Associates, Inc. Investment Securities?
A grade of C reflects Thornes & Associates, Inc. Investment Securities's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 5 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Thornes & Associates, Inc. Investment Securities have?
Thornes & Associates, Inc. Investment Securities has 5 total FINRA disclosures, including 4 regulatory events, 1 arbitration. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Thornes & Associates, Inc. Investment Securities?
Thornes & Associates, Inc. Investment Securities 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 Thornes & Associates, Inc. Investment Securities's disciplinary record?
You can verify Thornes & Associates, Inc. Investment Securities's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40868. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid Thornes & Associates, Inc. Investment Securities 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. Thornes & Associates, Inc. Investment Securities carries 5 disclosures across 0 branch offices (about 5.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- 1717 Capital Management Company - 5.00 disclosures/office, nearest single-office firm peer to Thornes & Associates, Inc. Investment Securities's 5.00
- 1ST Bridgehouse Securities, LLC - 5.00 disclosures/office, nearest single-office firm peer to Thornes & Associates, Inc. Investment Securities's 5.00
- Ajax Investments, LLC - 5.00 disclosures/office, nearest single-office firm peer to Thornes & Associates, Inc. Investment Securities's 5.00
- Red Flags in Advisor Records - How to read Thornes & Associates, Inc. Investment Securities's heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 5 disclosures behind Thornes & Associates, Inc. Investment Securities's Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as Thornes & Associates, Inc. Investment Securities.
- Compare firms - put Thornes & Associates, Inc. Investment Securities next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Data sourced from official FINRA BrokerCheck and SEC EDGAR enforcement records. See our methodology for details. Retrieved and formatted by PlainAdvisorCheck
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This firm's record is rendered directly from FINRA BrokerCheck and SEC EDGAR 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.