Chief Operations Officer &
Compliance Officer
As the Chief Operations Officer and
Compliance Officer, Laurie contributes tremendously to the
overall success of Select Portfolio Management, Inc., as well as
to the overall experience of our clients. She provides everyday
oversight and support for all of the office procedures, client
product application approval, and securities trades.
Laurie is active in our home office supervision, management, and
implementation of investment products for our clientele. She
also serves as the firm’s Anti-Money Laundering and Trade Desk
Supervisor as well as Continuing Education Coordinator.
As Compliance Officer, Laurie provides a critical role in
assuring compliance with all federal and state securities laws
as well as all industry rules and regulations.
Professional Experience
Laurie Thompson is Chief Operations
Officer and Compliance Officer for Select Portfolio Management,
Inc. and Select Money Management, Inc., both Registered
Investment Advisors. She is also Vice President, Secretary and
Co-Chief Compliance Officer for Securities Equity Group,
Registered Broker-Dealer, member FINRA and SIPC. Laurie is also
a Registered Principal and Registered Representative for the
firm (Series 24, 26, 7, 6, and 63).
With well over 35 years of experience with independent
Registered Investment Advisors and Broker-Dealers, Laurie is an
exceptionally knowledgeable leader for the firm.
From 1997 to 2000, she was active in the management and
operations of two branch offices for Securities Service Network,
LLC in her capacity as Registered Principal and Registered
Representative. She also served as an Office Manager for
Prudential Insurance Company of America and PRUCO Securities
Corp. from 1985 to 1996 where her duties involved management,
compliance, operations, and procedures.
Securities offered through Securities Equity Group
| Registered Broker-Dealer
Member
FINRA & SIPC
Education
˘
Series 14 - Compliance Officer Examination
˘
Series 99
- Operations Professional Examination
˘
SIE –
Securities Industry Essentials Examination
˘
CA Insurance License #0B53128
Contact Laurie at
˘
120 Vantis Drive. – Suite 440, Aliso Viejo, CA, 92656
˘
TEL: (800) 445-9822 /
(949) 975-7900
˘
FAX: (949) 900-8181
˘
EMAIL:
laurie.thompson@selectportfolio.com