Jason C. Cox

NORTHPEAK FINANCIAL

Orlando, FL

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CRD#: 2998112

Professional summary

Jason Charles Cox is a registered financial advisor currently at NORTHPEAK FINANCIAL, INC. located in Orlando, Florida.

Jason is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Jason has worked at 6 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Charles Cox's 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

April 7, 2021 - Present

NORTHPEAK FINANCIAL, INC.

Office #2: 50 Carroll Creek Way Suite 220, Frederick, MD 21701

RIA

CRD#: 142970

Orlando, FL

Past

March 27, 2007 - December 31, 2020

NORTHPEAK FINANCIAL, INC.

RIA

CRD#: 142970

FREDERICK, MD

Past

August 15, 2006 - April 4, 2007

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

August 24, 2005 - August 15, 2006

KOVACK SECURITIES INC.

RIA

CRD#: 44848

MOUNT AIRY, MD

Past

August 24, 2005 - August 27, 2008

KOVACK SECURITIES INC.

CRD#: 44848

MOUNT AIRY, MD

Past

May 25, 2001 - August 30, 2005

OSAIC FA, INC.

RIA

CRD#: 3978

COLUMBIA, MD

Past

May 12, 2000 - August 30, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 12, 2000 - August 30, 2005

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

July 24, 1998 - June 1, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Virginia
(1/4/2022)

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

Series 63

Date: 1/31/2001

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/28/2000

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 6/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/7/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/3/2006

General Securities Principal Examination

Current Firm

NORTHPEAK FINANCIAL, INC.

INDEPENDENT WEALTH ADVISORS | NORTHPEAK FINANCIAL, INC. | NORTHPEAK FINANACIAL, INC. | INDEPENDENT WEALTH ADVISORS, LLC

CRD#: 142970 / SEC#:

Florida

Registered Investment Advisory firm - (7/12/2023 Approved)

Maryland

Registered Investment Advisory firm - (4/7/2021 Approved)

Virginia

Registered Investment Advisory firm - (1/4/2022 Approved)

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Contact information

Main Address

50 Carroll Creek Way Suite 220, Frederick, MD 21701

Mailing Address

Phone number

(240) 515-0113

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 42,010,513

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

Jason C. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jason Charles Cox's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHPEAK FINANCIAL, INC.

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

KOVACK SECURITIES INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/31/2001

Series 65

Date: 7/28/2000

Series 7

Date: 6/20/2000

Series 6

Date: 7/7/1998

Series 24

Date: 4/3/2006

Current Firm

NORTHPEAK FINANCIAL, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORTHPEAK FINANCIAL, INC.

TRUST BUT VERIFY

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