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Current Employers
Ameriprise Financial Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-12-01
KY RA APPROVED 2003-10-09
  • TX RA
    APPROVED_RES
    Since 2011-12-01
  • KY RA
    APPROVED
    Since 2003-10-09

Branch Locations

1000 Monarch St Ste 250, Lexington, KY 40513-1945 • United States

Lexington, KY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Lexington KY 09/2005 03/2020
Ameriprise Financial Services, Llc Lexington KY 03/2020 Present
Other Businesses

Business Ownership; Fink Office Properties, ILLC; ; Ownership of office space; 1000 Monarch St., Suite 250 Lexington, KY 40513, ,; Investment-Related; 02/24/2015; 1 to 9 hours per month; 1 to 9 during trading hours / Happy Island Views, LLC; Co-owner; Real Estate; Oceania, Unit A342, Oranjestad, , , ABW; Investment-Related; 12/14/2023; 1 to 9 hours per month; 0 during trading hours / TCA Services, LLC; Co-owner; Manage Ameriprise Business; 1000 Monarch St, Suite 250, Lexington, KY, 40513; Investment-Related; 07/01/2025; 10 to 19 hours per month; 10 to 19 during trading hours / Oceania 244, LLC; owner; Real Estate; 247 Shady Lane Lexington, KY 40513, , ** not provided **, N/A, 40503; Not Investment-Related; 04/17/2018; 1 to 9 hours per month; 0 during trading hours / Fink Services, LLC; Co-owner; Manage Ameriprise Business; 1000 Monarch St., Suite 250, Lexington, KY, 40513; Investment-Related; 07/16/2025; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; University of Kentucky Alumni Association Investment Committee; Member; 400 Rose Street, , Lexington, KY, 40506; Investment-Related; 08/01/2023; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Fink Management Services, LLC; Chief Operations Officer and Chief Financial Officer - Management; ; 1000 Monarch St, Suite 250, , Lexington, KY, 40513; Not Investment-Related; 02/04/2020; 1 to 9 hours per month; 1 to 9 during trading hours / Fink Services, LLC; Co-owner; Manage advisory business; 1000 Monarch St, Suite 250, Lexington, KY, 40513; Investment-Related; 07/01/2025; 1 to 9 hours per month; 1 to 9 during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-21
  • S66 Uniform Combined State Law Examination
    2000-12-21
Other Names
  • Joseph Jake L Fink

View on SEC IAPD

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