Tena L Kautz

Current Employers

Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2016-09-02
TX	RA	APPROVED_RES	2016-09-01

CO RA
APPROVED

Since 2016-09-02
TX RA
APPROVED_RES

Since 2016-09-01

Branch Locations

Denver, CO • United States

260 N Josephine St Ste 200, Denver, CO 80206 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Denver	CO	08/2016	03/2020
Ameriprise Financial Services, Llc	Denver	CO	03/2020	Present

08/2016 → 03/2020

Ameriprise Financial Services, Inc.

Denver, CO
03/2020 → Present

Ameriprise Financial Services, Llc

Denver, CO

Previous Registrations

2006-06-22 → 2016-09-12

Msi Financial Services, Inc.

Greenwood Village, CO

Greenwood Village, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-06-12
S63	Uniform Securities Agent State Law Examination	2002-03-13

S65 Uniform Investment Adviser Law Examination

2006-06-12
S63 Uniform Securities Agent State Law Examination

2002-03-13

Other Names

Tena Lucille Bauer
Tena Lucille Johnson
Tena L Kautz
Tena Lucille Kautz

View on SEC IAPD