Brian Carlson is a ChFC-designated registered investment advisor at Hennessy Advisors, INC., based in Novato, CA, with 25 years of industry experience. Brian operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 17 clients with $4.3B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
7250 Redwood Boulevard, Suite 200, Novato, CA, 94945
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Brian is the Chief Compliance Officer for Hennessy Advisors and Head of Distribution for Hennessy Funds, spending about a quarter of his time on each role. He also spends minimal time as a managing member of TML Ventures, LLC, a holding company.
Employment History
Current Registrations
Hennessy Advisors, INC.
Quasar Distributors, LLCBroker
Quasar Distributors, LLC
Previous Registrations
Calton & Associates, INC.
Calton & Associates, INC.Broker
Nrp Financial, INC.Broker
Nrp Financial, INC.
Nrp Advisors, INC.
Financial Telesis, INC.
Financial Telesis INCBroker
Sterling Financial Investment Group, INC.Broker
State Street Research Investment Services, INC.Broker
Washington Square Securities, INC.Broker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.