Shelley Dragon, CSCP

Shelley Dragon, CSCP


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, She brings 25-plus years of nationwide business consulting experience. Ms. Dragonbrings 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., she provided compliance consulting and operational insight to investment advisers, hedge funds and private equity firms of all sizes. Ms. Dragon is a  Certified Securities Compliance Professional (CSCP).


Shelley Dragon, CSCP

A Consultant and subject matter expert in these services:



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

  • Senior Vice President and Chief Operating Officer, 2008 – 2011
  • Senior Vice President, Sales and Client Service, 1996 – 2008
  • Client Service and Due Diligence Analyst, 1992 – 1996

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)

Certified Securities Compliance Professional (CSCP)