Brian C. Carlson

Brian C. Carlson is the SVP & Chief Compliance Officer at Hennessy Advisors. Brian has over 20 years of experience in the financial industry.

Prior to joining Hennessy Advisors, Brian was a Principal at Trivium Consultants, where they provided strategic direction and comprehensive analysis to companies seeking assistance with efficiency implementation, project planning and management, technology and operational infrastructure improvements, and sound practice management advice.

Before Trivium Consultants, Brian was the Senior Managing Director at NRP Financial, Inc./NRP Advisors, Inc., where they were responsible for the sell-side negotiation of a $20M+ asset sale, strategic direction-setting, operational infrastructure, and budgeting, advisor recruiting strategies, business analysis, and transition, management of the Legal and Product Departments, and investment product/platform development, implementation, and operations.

Brian has a deep understanding of the financial industry and is an expert in compliance. Brian is a valuable asset to Hennessy Advisors and helps the company continue to grow and succeed.

Brian C. Carlson received their Doctor of Jurisprudence from University of the Pacific - McGeorge School of Law in Business Law & Taxation. Brian also holds a Bachelor of Arts from University of Southern California in American Theirtory. Brian is a Certified Financial Consultant from The American College and is also a Member of the State Bar of California. Brian is certified in Series 7, 24, 63, and 66.

Brian C. Carlson works with Teresa M. Nilsen - President, COO & Secretary , Daniel B. Steadman - EVP , and Kathryn R. Fahy - SVP & CFO . Their manager is Neil J. Hennessy, CEO & Chairman.