Brian Carlson
Compliance Officer at HENNESSY ADVISORS, INC.
Profile
Brian C.
Carlson is currently the Senior Vice President & Head-Distribution at Hennessy Funds, Inc. He is also the Chief Compliance Officer & Senior Vice President at Hennessy Advisors, Inc. and a Member of The State Bar of California.
Previously, he was the Senior Managing Director at NRP Financial, Inc. and NRP Advisors, Inc. from 2007 to 2011.
He was also the EVP-Operations & Legal Affairs at National Retirement Partners, Inc. from 2010 to 2011.
Carlson received his undergraduate degree from the University of Southern California in 1994 and his graduate degree from Pacific Mcgeorge School of Law.
Brian Carlson active positions
| Companies | Position | Start |
|---|---|---|
| HENNESSY ADVISORS, INC. | Compliance Officer | 2013-11-30 |
The State Bar of California
 The State Bar of California Miscellaneous Commercial ServicesCommercial Services The State Bar of California operates as an official attorney licensing agency. The non-profit company is based in San Francisco, CA. Elizabeth Rindskopf Parker has been the CEO of the company since 2015. | Corporate Officer/Principal | - |
| Hennessy Funds, Inc. | Corporate Officer/Principal | - |
Former positions of Brian Carlson
| Companies | Position | End |
|---|---|---|
National Retirement Partners, Inc.
 National Retirement Partners, Inc. Miscellaneous Commercial ServicesCommercial Services 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. | Chief Operating Officer | 2010-06-20 |
| NRP Financial, Inc. | Corporate Officer/Principal | 2011-01-31 |
NRP Advisors, Inc.
 NRP Advisors, Inc. Investment ManagersFinance Part of LPL Financial Holdings, Inc., NRP Advisors, Inc. provides investment advice. The private company is based in Bryan, OH. Founded in 2008. | Corporate Officer/Principal | 2011-01-31 |
Training of Brian Carlson
| University of Southern California | Undergraduate Degree |
| Pacific Mcgeorge School of Law | Graduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Listed companies | 1 |
|---|---|
| HENNESSY ADVISORS, INC. | Finance |
| Private companies | 5 |
|---|---|
| Hennessy Funds, Inc. | Miscellaneous |
National Retirement Partners, Inc.
National Retirement Partners, Inc. Miscellaneous Commercial ServicesCommercial Services 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. | Commercial Services |
| NRP Financial, Inc. | |
The State Bar of California
The State Bar of California Miscellaneous Commercial ServicesCommercial Services The State Bar of California operates as an official attorney licensing agency. The non-profit company is based in San Francisco, CA. Elizabeth Rindskopf Parker has been the CEO of the company since 2015. | Commercial Services |
NRP Advisors, Inc.
NRP Advisors, Inc. Investment ManagersFinance Part of LPL Financial Holdings, Inc., NRP Advisors, Inc. provides investment advice. The private company is based in Bryan, OH. Founded in 2008. | Finance |
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