Shelley Dragon

Shelley Dragon

Consultant

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.


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Shelley Dragon

A Consultant and subject matter expert in these services:

Credentials

EXPERIENCE

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

EDUCATION

University of Wisconsin, Madison, WI, BA – Communications & Public Relations

PROFESSIONAL LICENSES

NASD (now FINRA) Series 7, 63, 65, 24 (previously held)