Laurie Moore has been Chief Compliance Officer of Miai since October 2024, is a control person of the firm and directly owns under 5% of it.
Miai, Inc. is a Dallas, TX firm with $213M under management, 276 clients and 4 advisers across 2 offices, as of its September 2026 filing.
Laurie Moore is Chief Compliance Officer and Senior Vice President of Maplewood Investments, based in Dallas, Texas. She directs the firm's compliance function. Her tenure with the firm dates to 2008; she spent 14 years overseeing its compliance program before briefly stepping away, and rejoined when the firm became affiliated with the Blueprint family of companies in 2024. Before 2008 she led and supported compliance at several Dallas firms, including Wachovia Securities, Lehman Brothers and Titan Securities.
Laurie Moore’s longest registration is the current one, 2 years at Blueprint Investment Partners LLC since 2024.
- Blueprint Investment Partners LLCAlso current– present · 2 yearsFrisco, TX · Adviser representative · Firm CRD 170196
- Citigroup Global Markets Inc.– · 1 yearDallas, TX · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Laurie Moore is registered as an investment adviser representative in Texas, since July 2024.
- TexasSince 9 July 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 1 May 2023 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 2 January 2023 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 2 January 2023 |
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 13 April 1998 |
| Series 24 | General Securities Principal Examination | 24 November 1997 |
| Series 7 | General Securities Representative Examination | 13 November 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 March 1994 |
- Name
- Uniform Combined State Law Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Laurie Michele Moore
- CRD
- 2020784
- Firm
- Miai · CRD 111695
- Role
- Chief Compliance Officer
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 1995
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- maplewoodinvestments.com
Where does Laurie Moore work?
Laurie Moore has been Chief Compliance Officer of Miai, Inc. since October 2024, and is a control person of the firm.
Is Laurie Moore a financial advisor?
Yes. Laurie Moore has a current investment-adviser registration in Texas.
How many years of experience does Laurie Moore have?
Laurie Moore has 30 years in the financial industry, since December 1995, across 2 adviser firms.
What exams has Laurie Moore passed?
Laurie Moore has passed 10 licensing exams: the Series 63, Series 7, Series 24, Series 8, Series 14, Series 10, Series 9, Series 79TO, Series 99TO and Series 66. The earliest, the Series 63, was passed in March 1994. FINRA credited Laurie Moore with the SIE, which began in October 2018.
Where was Laurie Moore previously registered as an investment adviser?
Laurie Moore has past investment-adviser registrations through Citigroup Global Markets Inc., May 2023 to June 2024, across 2 firms.
Is Laurie Moore registered with FINRA?
Yes. Laurie Moore has a current broker registration, under CRD 2020784.
Source: FINRA BrokerCheck
How can I verify Laurie Moore’s record?
Search CRD 2020784 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Laurie Moore’s full registration record.
