Brian Cameron Carlson

Current Employers

Employment History

• 12/2013 → Present
  Hennessy Funds
  Novato, CA
• 01/2014 → Present
  Quasar Distibutors, Llc
  Clyde Park, MT
• 12/2013 → Present
  Hennessy Advisors, Inc.
  Clyde Park, MT

Previous Registrations

• 2012-11-05 → 2013-12-20
  Calton & Associates, Inc.
  Tampa, FL
  Novato, CA
  Defiance, OH
  Novato, CA
• 2006-09-19 → 2010-12-31
  Nrp Advisors, Inc.
  Bryan, OH
• 2006-10-04 → 2008-10-27
  Nrp Financial, Inc.
  Bryan, OH
  Bryan, OH
  Novato, CA
• 2004-09-23 → 2006-09-29
  Financial Telesis Inc
  Novato, CA
  Novato, CA

Other Businesses

1.) Hennessy Advisors; Clyde Park, MT; Investment Related; Started 12/01/2013; Investment advisor to mutual fund company; Chief Compliance Officer; compliance functions to the investment advisor; 40 hours per month with 0 hours during securities trading hours. 2.) Hennessy Funds; Novato, CA; Investment Related; Started 12/01/2013; Mutual Fund Company; Head of Distribution; manage and develop relationships with third-party distribution companies; while Hennessy Funds and Hennessy Advisors are technically separate legal entities, my employment by one is interrelated and dependent upon the other; 40 hours per month with 0 hours during securities trading hours. 3.) TML Ventures, LLC; Novato, CA; Not investment related; Started 04/12/2018; Holding company; managing member; spend 1 hour or so per month reviewing a bank statement and credit card statement (to confirm no activity) and thinking about any future prospects for the LLC; 1 hour per month with 0 hours during securities trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2004-03-04
• S63 Uniform Securities Agent State Law Examination
  1998-05-04

Designations

Other Names

• Brian Carlson