Katherine Kula has been Member, Chief Compliance Officer of Basepoint Wealth since August 2017, is a control person of the firm and directly owns under 5% of it.
Basepoint Wealth, LLC is a Cedar Rapids, IA firm with $884M under management, 1,263 clients and 13 advisers across 4 offices, as of its August 2026 filing.
Katherine Kula’s longest registration is the current one, 9 years at Basepoint Wealth since 2017. Before joining Basepoint Wealth in 2017, Katherine Kula was registered through Ameriprise Financial Services, Inc.
- Basepoint Wealth, LLCCurrent– present · 9 yearsCedar Rapids, IA · Adviser representative · Firm CRD 289538
- Ameriprise Financial Services, Inc.– · 1 yearCedar Rapids, IA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Katherine Kula is registered as an investment adviser representative in Iowa, since October 2017.
- IowaSince 10 October 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 2 October 2014 |
| Series 7 | General Securities Representative Examination | 31 March 2014 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Katherine Emma Kula
- CRD
- 5919392
- Firm
- Basepoint Wealth · CRD 289538
- Role
- Member, Chief Compliance Officer
- Office
- 4700 N. RIVER BLVD NE, Cedar Rapids, IA 52411
- Registration
- Investment adviser registration
- In the industry since
- March 2014
- Disciplinary history
- Not yet shown here · SEC record
Where does Katherine Kula work?
Katherine Kula has been Member, Chief Compliance Officer of Basepoint Wealth, LLC since August 2017, and is a control person of the firm.
Is Katherine Kula a financial advisor?
Yes. Katherine Kula has a current investment-adviser registration in Iowa, through Basepoint Wealth since October 2017.
How many years of experience does Katherine Kula have?
Katherine Kula has 12 years in the financial industry, since March 2014, across 2 adviser firms.
What exams has Katherine Kula passed?
Katherine Kula has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in March 2014. FINRA credited Katherine Kula with the SIE, which began in October 2018.
Where is Katherine Kula based?
Katherine Kula’s registered office is in Cedar Rapids, IA.
Is Katherine Kula registered with FINRA?
No. Katherine Kula has no current broker registration.
How can I verify Katherine Kula’s record?
Search CRD 5919392 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Katherine Kula’s full registration record.
