Karen B. Brenner

FORTUNA ASSET MANAGEMENT LLC

Irvine, CA 92612

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CRD#: 1016252

Professional summary

Karen Beth Brenner is a registered financial advisor currently at FORTUNA ASSET MANAGEMENT LLC located in Irvine, California.

Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Karen has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

KAREN BRENNER IS WHOLE OWNER AND CEO OF FORTUNA ADVISORS, INC (FAI) SINCE 1983. FAI IS A CONSULTING COMPANY IN NEWPORT BEACH, CALIFORNIA AND HOLDS THE SOFTWARE LICENSE FOR PORTFOLIO MANAGEMENT USED BY FORTUNA ASSET MANAGEMENT, LLC. MS. BRENNER DEVOTES APPROXIMATELY 1 HOUR PER QUARTER TO FAI. NO TIME IS DEVOTED TO FAI DURING SECURITY TRADING HOURS. FAI IS NOT AN INVESTMENT-RELATED COMPANY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Beth Brenner'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®

None

Experience

Current

December 6, 2013 - Present

FORTUNA ASSET MANAGEMENT LLC

Office #1: 2082 Michelson Dr Suite 100, Irvine, CA 92612

RIA

CRD#: 106897

Irvine, CA

Past

June 26, 1984 - January 18, 1985

AMERICAN INVESTMENT SECURITIES CORPORATION

CRD#: 10862

Past

November 3, 1981 - April 20, 1982

LPL FINANCIAL LLC

CRD#: 6413

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.

Highlighted states indicate IAR registrations

IAR

California
(12/6/2013)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/5/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/2/1982

General Securities Principal Examination

Current Firm

FORTUNA ASSET MANAGEMENT LLC

CRD#: 106897 / SEC#: 801-24292

RIA

Registered Investment Advisory firm - (8/1/2012 Terminated)

California

Registered Investment Advisory firm - (7/31/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2082 Michelson Dr Suite 100, Irvine, CA 92612

Mailing Address

Po Box 9109, Newport Beach, CA 92658

Phone number

(949) 476-2872

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 50,072,349

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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Karen B. Brenner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karen Beth Brenner's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNA ASSET MANAGEMENT LLC

AMERICAN INVESTMENT SECURITIES CORPORATION

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/5/2013

Series 63

Date: 2/12/1982

Series 7

Date: 10/17/1981

Series 24

Date: 2/2/1982

Current Firm

FORTUNA ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FORTUNA ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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