Brian C. Carlson is the Chief Compliance Officer and Senior Vice President of Hennessy Advisors, Inc. He also serves as a Senior Vice President and Head of Distribution for our mutual funds.
Prior to joining Hennessy in 2013, Brian served in a number of senior leadership roles and as a consultant to RIAs and broker-dealers. He was instrumental in the formation and growth of the NRP Companies, a distribution entity comprised of independent retirement plan and wealth management advisors, and was a Senior Managing Director of NRP Financial and NRP Advisors at the time of sale to LPL Financial. Brian began his career in financial services in 1997 as a wholesaler of qualified plans, DCIO mutual funds, and separate accounts for ING and State Street Research Asset Management.
Brian received a B.A. in American History from the University of Southern California and a J.D. from the University of the Pacific, McGeorge School of Law. He is a member of the State Bar of California, is a ChFC and AIF designee, and maintains Series 7, 24, 63, and 66 licenses.