Linda A. Shirkey

Linda A. Shirkey

Managing Director

Linda Shirkey is a Managing Director of the Bates Compliance team based in Houston, TX. As President and founder of The Advisor’s Resource, Inc., she has provided compliance expertise to Registered Investment Advisers for over 20 years. A former institutional stock broker covering money managers and major corporations, Ms. Shirkey was with Charles Schwab & Co., Inc., for ten years. Prior to her position with Charles Schwab, Ms. Shirkey worked in banking and legal services in product development, marketing and corporate finance.

A magna cum laude graduate of Case Western Reserve University in Cleveland, Ohio, Ms. Shirkey currently serves on the Board of the National Society of Compliance Professionals (“NSCP”) and chairs their Strategic Planning Committee. She also holds a leadership role with the Houston Compliance Roundtable and is a member of the DFW Compliance Roundtable. She is often invited to speak as an expert in applying current compliance requirements effectively and efficiently, and she has led workshops and seminars for the NSCP Regional and National Meetings, IA Watch, and the Investment Adviser Association.


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Linda A. Shirkey

A Consultant and subject matter expert in these services:

Credentials

EXPERIENCE

The Advisor’s Resource, Inc., Houston, TX, President and Founder, 1994 – Present

Charles Schwab & Co. and Bank of America, San Francisco, CA and Houston TX, Assistant Vice President and Marketing Representative, 1982-1993

Mead Data Central, New York City, NY, Product Developer, 1978-1982

Pillsbury, Madison & Sutro, San Francisco, CA, Paralegal, 1974-1982

EDUCATION

Case Western Reserve University – Cleveland, OH, Bachelor of Arts, Sociology and Urban Planning

PROFESSIONAL QUALIFICATIONS and LICENSING

FINRA Series 7 and 63 (previously held)

BOARDS and MEMBERSHIP

National Society of Compliance Professionals, Board member and Chair of Strategic Planning Committee

Houston Compliance Roundtable, Leader

DFW Compliance Roundtable, Member

Charter 100 Houston, Past President