Brian C. Carlson

Chief Compliance Officer & Senior Vice President at Hennessy Advisors, Inc.

Brian C. Carlson

Brian C. Carlson

Chief Compliance Officer & Senior Vice President at Hennessy Advisors, Inc.

Biography

Currently, Brian C. Carlson holds the position of Chief Compliance Officer & Senior Vice President at Hennessy Advisors, Inc. Mr. Carlson is also Member of The State Bar of California. In the past Mr. Carlson occupied the position of EVP-Operations & Legal Affairs at National Retirement Partners, Inc. He received an undergraduate degree from the University of Southern California and a graduate degree from Pacific Mcgeorge School of Law.

Overview
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Founder at Hennessy Advisors, Inc.

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President at Hennessy Advisors, Inc.

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Director & Shareholder at Hennessy Advisors, Inc.

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Director & Shareholder at Hennessy Advisors, Inc.

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Director & Shareholder at Hennessy Advisors, Inc.

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Director & Shareholder at Hennessy Advisors, Inc.

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Director & Shareholder at Hennessy Advisors, Inc.

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Secretary & Executive Vice President at Hennessy Funds, Inc.

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General Counsel at Hennessy Advisors, Inc.

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Chief Financial Officer, Senior Vice President & Principal Accounting Officer at Hennessy Advisors, Inc.

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Brian C. Carlson
Chief Compliance Officer & Senior Vice President at Hennessy Advisors, Inc.
Education
Class of 1994

University of Southern California is a private research university that mainly offers undergraduate, graduate & other higher education. The university was founded in 1880 and is headquartered in Los Angeles, CA.

University of the Pacific is a nationally ranked university with a long tradition of dedicated teaching, small class sizes, practical experience and vibrant residential life. The breathtaking main campus in Stockton, California is home to seven schools and colleges, with more than 80 majors and programs of study. Pacific also has the McGeorge School of Law in Sacramento and the Arthur A. Dugoni School of Dentistry in San Francisco. Total university enrollment is nearly 7,000, with 3,757 undergraduates in an average class size of 19 and a student/faculty ratio of 14:1. It is located in Stockton, California.

Memberships
Member
Current

State Bar is currently governed by a 23-member Board of Trustees.State Bar of California is by far the largest state bar in the country. Nearly 179,000 State Bar members actively practice law in California, while the rest retain their licenses as inactive members.State Bar of California is the only state bar in the nation with independent professional judges dedicated to ruling on attorney discipline cases. The independent State Bar Court hears the charges and has the power to recommend that the California Supreme Court suspend or disbar those attorneys found to have committed acts of professional misconduct or convicted of serious crimes. For lesser offenses, it may issue public or private reprovals.

Career History
Chief Compliance Officer & Senior Vice President
Current

Hennessy Advisors, Inc. engages in managing, servicing and marketing open-end mutual funds branded as the Hennessy Funds. It manages domestic equity, multi-asset, or sector and specialty products. The company was founded on February 1, 1989 and is headquartered in Novato, CA.

Executive Vice President-Operations & Legal Affairs
Prior - 2011

National Retirement Partners is a nationwide organization dedicated to the retirement plan and wealth management marketplace. NRP has comprised of independent advisors that provide plan consulting, fiduciary best practices and investment due diligence to retirement plan sponsors and their participants as well as comprehensive wealth management tools. Our Member Firms utilize NRP's vast resources and services to deliver solutions to each client that had traditionally only been available to the largest companies- sophisticated independent vendor search and benchmarking analysis, open architecture plan analysis and design, investment due diligence and comprehensive employee communications.National Retirement Partners offers comprehensive 401(k), 403(b), 457, ESOP, KSOP, Defined Benefit, Pension, Deferred Compensation and other retirement plan options through strategic alliances with the nation's largest plan providers. NRP strives for excellence in participant education, communication and plan satisfaction through the tools and services available designed for retirement plan participants. Our services also include proprietary investment due diligence analytics to help manage the investments and mitigate fiduciary liability for Plan Sponsors. NRP also provides investment consulting and education services on a fee-for-service basis for corporations that prefer to retain their existing plan recordkeeping relationships. In addition, Registered Investment Advisor (RIA) Services are available to the company advisors and their clients.National Retirement Partners was founded by William R. Chetney in 2003 and is headquartered in San Juan Capistrano, California.

Other Affiliations

Brian C. Carlson is affiliated with Hennessy Advisors, Inc., National Retirement Partners, Inc.

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Brian C. Carlson. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Brian C. Carlson's profile does not indicate a business or promotional relationship of any kind between RelSci and Brian C. Carlson.