Shelley Dragon is a Director with Bates Compliance, based in Houston, TX, with over 29 years of investment industry and consulting experience. As a former COO of a $4 billion private investment advisory firm, she has extensive knowledge in general and financial management and applies a highly relational client focus to her work. Ms. Dragon is experienced in strategic operational planning, systems and procedures specific to wealth managers, investment firms and non-profit organizations.
Ms. Dragon provides compliance consulting and operational insight to investment advisers, hedge funds and private equity firms of all sizes. She leverages her experience working in the financial services field to assist investment advisors, broker-dealers and wealth management organizations in navigating complex issues specific to the ever-changing compliance landscape such as developing and implementing Written Supervisory Policies & Procedures, supervision, compliance, financial regulations, internal audits and specializes in guiding firms through all phases of SEC and State regulatory examinations.
Ms. Dragon is a member of the National Society of Compliance Professionals and has earned the NSCP designation of Certified Securities Compliance Professional®.
Shelley is a consultant and subject matter expert in these Practice Areas and Services:
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Compliance Solutions
- Registered Investment Advisers
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)
Certified Securities Compliance Professional (CSCP)