Vice President, Chief Compliance Officer, Shareholder
Laurie joined Maplewood in July 2008. Her responsibilities include focusing on potential compliance vulnerability and risks of the firm, developing, monitoring, and managing the firm’s compliance policies and procedures both internally and externally. She conducts compliance audits, develops and administers compliance training to staff and interacts with regulatory organizations. She manages operations for the firm and provides back-office support to the firm’s tri-party relationships and independent advisors.
Laurie began her career in the financial industry in 1989. Before joining Maplewood, she held various management positions in a number of financial institutions in Dallas, Texas including Titan Securities, Lehman Brothers, Wachovia Securities and Capital Institutional Services, Inc.
Capital Institutional Services 1995-1999
Lehman Brothers 2004-2006
TItan Securities 2006-2008
Licenses & Certifications*
Series 7, 8, 10,24, 63, 78, 99
LIfe & Health Insurance
*To become registered and licensed to offer securities, state and federal law requires Maplewood financial professionals to pass qualifying exams administered by FINRA to demonstrate their competencies for the securities activities they perform.