Katherine E. Kula

BASEPOINT WEALTH

Cedar Rapids, IA 52402

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CRD#: 5919392

Professional summary

Katherine Emma Kula, who also goes by Katherine Kula, Katie Kula, Katherine Emma Ortgies, Katie Ortgies, is a registered financial advisor currently at BASEPOINT WEALTH, LLC located in Cedar Rapids, Iowa.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Katherine has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Kula | Katie Kula | Katherine Emma Ortgies | Katie Ortgies

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.

Basepoint Tax & Accounting LLC; Partner; investment related: No; 4144 Golf Street NE, Cedar Rapids, IA 52402; Basepoint Tax & Accounting LLC is an accounting firm that handles bookkeeping, payroll, accounting, and tax preparation for its client base; Duties: Leadership and management; 2021-06-30; Hours devoted to business during trading hours: 5; Hours devoted to business outside trading hours: 5;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Emma Kula'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

October 10, 2017 - Present

BASEPOINT WEALTH, LLC

Office #1: 4144 Golf Street Ne, Cedar Rapids, IA 52402

RIA

CRD#: 289538

Cedar Rapids, IA

Past

February 18, 2016 - October 11, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CEDAR RAPIDS, IA

Past

April 1, 2014 - October 11, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CEDAR RAPIDS, IA

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".

BASEPOINT WEALTH, LLC

CRD#: 289538 / SEC#: 801-111782

RIA

Registered Investment Advisory firm - (9/29/2017 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.

Highlighted states indicate IAR registrations

IAR

Iowa
(10/10/2017)

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 66

Date: 10/2/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/11/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/31/2014

General Securities Representative Examination

Current Firm

BASEPOINT WEALTH, LLC

CRD#: 289538 / SEC#: 801-111782

RIA

Registered Investment Advisory firm - (9/29/2017 Approved)

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Contact information

Main Address

4144 Golf Street Ne, Cedar Rapids, IA 52402

Mailing Address

Phone number

(319) 826-1898

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BASEPOINT WEALTH - ADV PART 2A AND APPENDIX 1 (5/30/2025)

Regulatory assets under management

Total Number of Accounts	3,881
AUM (Assets Under Management)	$ 776,175,833

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/17/2025	Cover Page	Report
10/23/2024	Cover Page	Report
08/22/2023	Cover Page	Report

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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Katherine E. Kula

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Emma Kula's CRS (Customer Relationship Summary).

Certified licenses

Experience

BASEPOINT WEALTH, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

BASEPOINT WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2014

SIE

Date: 10/11/2017

Series 7

Date: 3/31/2014

Current Firm

BASEPOINT WEALTH, LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BASEPOINT WEALTH, LLC

TRUST BUT VERIFY

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