Katherine A. Fortna

CLARUS WEALTH ADVISORS

Castle Rock, CO 80104

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CRD#: 5161365

Professional summary

Katherine Ann Fortna, who also goes by Katherine Ann Naibauer, is a registered financial advisor currently at CLARUS WEALTH ADVISORS, LLC located in Castle Rock, Colorado and PRIVATE CLIENT SERVICES, LLC located in Castle Rock, Colorado.

Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Katherine has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Ann Naibauer

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.

Clarus Wealth Advisors LLC. 9125 W Thunderbird Rd, Suite 100, Peoria, AZ 85381. IRA. 83 hrs/mo; 83 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ann Fortna's CRS (Customer Relationship Summary).

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

March 9, 2021 - Present

CLARUS WEALTH ADVISORS, LLC

Office #1: 202 6th Street Suite 301c, Castle Rock, CO 80104

RIA

CRD#: 281160

Castle Rock, CO

Current

October 31, 2023 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 419 Jerry St, Castle Rock, CO 80104

RIA

CRD#: 120222

Castle Rock, CO

Past

November 24, 2020 - November 7, 2023

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

CASTLE ROCK, CO

Past

May 8, 2007 - December 12, 2012

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

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".

CLARUS WEALTH ADVISORS, LLC

CRD#: 281160 / SEC#: 801-110156

RIA

Registered Investment Advisory firm - (3/20/2017 Approved)

Arizona

Registered Investment Advisory firm - (3/23/2017 Terminated)

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).

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

Arizona
(10/31/2023)

IAR

Colorado
(3/9/2021)

Colorado
(10/31/2023)

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: 3/6/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/24/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/5/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/7/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CLARUS WEALTH ADVISORS, LLC

CRD#: 281160 / SEC#: 801-110156

RIA

Registered Investment Advisory firm - (3/20/2017 Approved)

Arizona

Registered Investment Advisory firm - (3/23/2017 Terminated)

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Contact information

Main Address

9125 W. Thunderbird Road, Suite 100, Peoria, AZ 85381

Mailing Address

Phone number

(623) 583-6840

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2B 2025 (3/11/2025)

Regulatory assets under management

Total Number of Accounts	918
AUM (Assets Under Management)	$ 256,942,795

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

Katherine A. Fortna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ann Fortna's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

CROWN CAPITAL SECURITIES, L.P.

EMPOWER FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CLARUS WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2021

Series 7TO

Date: 11/24/2020

SIE

Date: 8/5/2019

Series 6

Date: 5/7/2007

FINRA

Current Firm

CLARUS WEALTH ADVISORS, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLARUS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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