Shelley Dragon is a Bates Compliance Consultant based in Houston, TX. A former COO of a $4 billion private investment advisory firm with extensive knowledge in general and financial management, Ms. Dragon brings 25-plus years of nationwide business consulting experience. She brings a highly relational client focus to her work, and is experienced in strategic operational plans, systems and procedures specific to wealth managers, investment firms and non-profit organizations. As Director of Client Relations for The Advisor’s Resource, Inc., Ms. Dragon provided compliance consulting and operational insight to investment advisers, hedge funds and private equity firms of all sizes.
The Advisor’s Resource, Inc., Houston, TX, Director of Client Relations, December 2017 – present
Severson Consulting, Houston, TX, Business Consultant, March 2011 – May 2019
Capstone Financial Services, Houston, TX, July 1992 – March 2011
Smith Barney Harris Upham & Co., Inc., Managed Accounts, Madison, WI, 1989 – 1992
University of Wisconsin, Madison, WI, BA – Communications & Public Relations
NASD (now FINRA) Series 7, 63, 65, 24 (previously held)
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