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Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.
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Shelley Dragon is a Bates Group Director 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 30+ years of consulting experience.
She brings a highly relational client focus to her work, and is experienced in regulatory compliance management, process controls, strategic operational plans, and procedures specific to wealth managers, investment firms and non-profit organizations.
Ms. Dragon specializes in Investment Advisor registration, SEC audits and ongoing compliance operations management for investment advisers. She provides compliance consulting and operational insight to investment advisers and private equity firms of all sizes.
Bates Group, Senior Consultant, Director, 2019-present
The Advisor’s Resource, Inc., Houston, TX, Director of Client Relations, December 2017 – 2019
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)
Certified Securities Compliance Professional (CSCP)