Laurie Thompson is a Senior Registered Associate at SEIA, bringing more than 35 years of experience in management, compliance, and operations within the independent Registered Investment Advisor and Broker-Dealer community.
Before joining SEIA, Laurie held senior leadership roles at an independent Registered Investment Advisor, where she oversaw daily operations, client onboarding, and securities trading. In that capacity, she also supervised compliance, anti-money laundering, trade desk management, and continuing education coordination—helping ensure efficiency and regulatory integrity across the firm.
Earlier in her career, Laurie held management and supervisory positions with Securities Service Network, LLC, and Prudential Insurance Company of America, where she was responsible for compliance oversight, procedural management, and advisor support.
Laurie holds FINRA Series 6, 7, 14, 24, 26, 63, 99, and SIE licenses, as well as a California Insurance License (#0B53128).