Mary C. Tenpas

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CRD#: 1136362

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Mary Colleen Tenpas, who also goes by Mary Todd, was a registered financial professional .

Mary is a previously registered financial professional and started their career in finance in 1985. Mary had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mary Todd

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.

Business Name: Carlson Asset Management Investment Related: Yes Address: 400 Village Center Drive, Suite 400 North Oaks MN 55127 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Registered Rep Start Date: 2/1/2004 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Securities and advisory work with clients and office managerBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 | Austin, TX 78735 Austin TX 78741 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 8/22/2017 Hours per month: 81% - 90% (129 - 144 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: Investment Advisor RepresentativeBusiness Name: Mary C Tenpas Investment Related: No Address: 400 Village Center Drive, Suite 400 North Oaks MN 55127 Nature of Business: Other Other/None of the Above Notarize a signature when required or requested Position, Title or Relationship: Notary Start Date: 2/15/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: notarize a signature as requested or required

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 23, 2017 - October 27, 2023

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

North Oaks, MN

Past

August 23, 2017 - October 27, 2023

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

North Oaks, MN

Past

January 30, 2014 - October 28, 2014

CARLSON ASSET MANAGEMENT

RIA

CRD#: 139579

NORTH OAKS, MN

Past

March 3, 2006 - August 24, 2017

WFG ADVISORS, LP

RIA

CRD#: 125073

NORTH OAKS, MN

Past

March 2, 2004 - August 24, 2017

WFG INVESTMENTS, INC.

CRD#: 22704

NORTH OAKS, MN

Past

July 23, 1999 - February 3, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 2, 1998 - August 18, 1999

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 22, 1994 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

October 23, 1985 - April 22, 1994

JOHN G. KINNARD AND COMPANY, INCORPORATED

CRD#: 466

MINNEAPOLIS, MN

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".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 2/9/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1985

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: 10/19/1985

General Securities Representative Examination

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	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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Advisor Monitoring

Firm Stability Insights

Mary C. Tenpas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

CARLSON ASSET MANAGEMENT

WFG ADVISORS, LP

WFG INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

JOHN G. KINNARD AND COMPANY, INCORPORATED

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/9/2006

Series 63

Date: 10/22/1985

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1985

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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