James T. Cox

PEAK WEALTH MANAGEMENT

SARATOGA SPRINGS, NY 12866

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CRD#: 6174566

Professional summary

James Thomas Cox, CFP®, who also goes by Jt Cox, is a registered financial advisor currently at PEAK WEALTH MANAGEMENT located in Saratoga Springs, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. James has worked at 8 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jt Cox

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.

1. Insurance Sales; same address; Non-investment related; Approximately 10% of time during the month

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Cox's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

August 22, 2024 - Present

PEAK WEALTH MANAGEMENT

Office #1: 125 High Rock Avenue Suite 104, Saratoga Springs, NY 12866

RIA

CRD#: 332411

SARATOGA SPRINGS, NY

Past

March 13, 2023 - July 1, 2024

CONTINUUM WEALTH ADVISORS, LLC

RIA

CRD#: 152895

SARATOGA SPRINGS, NY

Past

July 26, 2021 - February 10, 2023

RETIREMENT PLANNING GROUP, LLC

RIA

CRD#: 310647

MALTA, NY

Past

January 12, 2021 - February 6, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Malta, NY

Past

September 18, 2020 - January 5, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

Malta, NY

Past

January 2, 2019 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

Malta, NY

Past

April 8, 2015 - December 31, 2018

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

SARATOGA SPRINGS, NY

Past

September 12, 2013 - January 22, 2015

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

SARATOGA SPRINGS, NY

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".

PEAK WEALTH MANAGEMENT

PEAK WEALTH MANAGEMENT | PEAK WEALTH MANAGEMENT LLC

CRD#: 332411 / SEC#: 801-130972

RIA

Registered Investment Advisory firm - (8/22/2024 Approved)

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

New York
(8/22/2024)

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 66

Date: 8/19/2014

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/12/2013

General Securities Representative Examination

Current Firm

PEAK WEALTH MANAGEMENT

PEAK WEALTH MANAGEMENT | PEAK WEALTH MANAGEMENT LLC

CRD#: 332411 / SEC#: 801-130972

RIA

Registered Investment Advisory firm - (8/22/2024 Approved)

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Contact information

Main Address

125 High Rock Avenue Suite 104, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 441-2285

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PWM ADV PART 2A/2B (2/5/2025)

Regulatory assets under management

Total Number of Accounts	81
AUM (Assets Under Management)	$ 26,045,798

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

James T. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Cox's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONTINUUM WEALTH ADVISORS, LLC

RETIREMENT PLANNING GROUP, LLC

PURSHE KAPLAN STERLING INVESTMENTS

SECURITIES AMERICA, INC.

SECURITIES SERVICE NETWORK, LLC

AMERITAS INVESTMENT COMPANY, LLC

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

PEAK WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/19/2014

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/12/2013

Current Firm

PEAK WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEAK WEALTH MANAGEMENT

TRUST BUT VERIFY

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