Brian C. Carlson

HENNESSY ADVISORS

Novato, CA 94945

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CRD#: 3062835

Professional summary

Brian Cameron Carlson, AIF®, CIMA®, who also goes by Brian Carlson, is a registered financial advisor currently at HENNESSY ADVISORS, INC. located in Novato, California and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian Carlson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Cameron Carlson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 2, 2014 - Present

HENNESSY ADVISORS, INC.

Office #1: 7250 Redwood Boulevard Suite 200, Novato, CA 94945

RIA

CRD#: 110770

Novato, CA

Current

January 8, 2014 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 103848

Portland, ME

Past

November 5, 2012 - December 20, 2013

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

NOVATO, CA

Past

November 5, 2012 - December 20, 2013

CALTON & ASSOCIATES, INC.

CRD#: 20999

NOVATO, CA

Past

October 4, 2006 - October 27, 2008

NRP FINANCIAL, INC.

RIA

CRD#: 103717

NOVATO, CA

Past

October 4, 2006 - December 31, 2010

NRP FINANCIAL, INC.

CRD#: 103717

NOVATO, CA

Past

September 19, 2006 - December 31, 2010

NRP ADVISORS, INC.

RIA

CRD#: 141430

BRYAN, OH

Past

September 23, 2004 - September 29, 2006

FINANCIAL TELESIS INC

RIA

CRD#: 31012

NOVATO, CA

Past

March 9, 2004 - September 29, 2006

FINANCIAL TELESIS INC

CRD#: 31012

NOVATO, CA

Past

March 17, 2003 - March 12, 2004

STERLING FINANCIAL INVESTMENT GROUP, INC.

CRD#: 41506

BOCA RATON, FL

Past

March 28, 2001 - March 5, 2003

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

BOSTON, MA

Past

July 22, 1998 - March 13, 2001

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HENNESSY ADVISORS, INC.

HENNESSY ADVISORS, INC. | HENNESSY EDWARD J INC

CRD#: 110770 / SEC#: 801-36288

RIA

Registered Investment Advisory firm - (4/2/1990 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/8/2014)

IAR

California
(9/2/2014)

Massachusetts
(1/5/2015)

Montana
(5/5/2025)

North Carolina
(1/9/2015)

Texas
(7/31/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/4/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/20/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/19/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HENNESSY ADVISORS, INC.

HENNESSY ADVISORS, INC. | HENNESSY EDWARD J INC

CRD#: 110770 / SEC#: 801-36288

RIA

Registered Investment Advisory firm - (4/2/1990 Approved)

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Contact information

Main Address

7250 Redwood Boulevard Suite 200, Novato, CA 94945

Mailing Address

Phone number

(415) 899-1555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 4,252,155,951

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Brian C. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Cameron Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

NRP FINANCIAL, INC.

NRP FINANCIAL, INC.

NRP ADVISORS, INC.

FINANCIAL TELESIS INC

FINANCIAL TELESIS INC

STERLING FINANCIAL INVESTMENT GROUP, INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

HENNESSY ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2004

Series 63

Date: 5/4/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/20/1998

Series 24

Date: 5/19/2005

FINRA

Current Firm

HENNESSY ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

HENNESSY ADVISORS, INC.

TRUST BUT VERIFY

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