AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JC

James T. Cox

PEAK WEALTH MANAGEMENT
SARATOGA SPRINGS, NY 12866
Some features on this profile are disabled
CRD#: 6174566
JC

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.
The advisor shows no other business activity.

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

BD
CRD#: 35747
Malta, NY
Past

September 18, 2020 - January 5, 2021

SECURITIES AMERICA, INC.

BD
CRD#: 10205
Malta, NY
Past

January 2, 2019 - September 18, 2020

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
Malta, NY
Past

April 8, 2015 - December 31, 2018

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
SARATOGA SPRINGS, NY
Past

September 12, 2013 - January 22, 2015

MERCER ALLIED COMPANY, L.P.

BD
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".
PW
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/19/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2013
General Securities Representative Examination

Current Firm

PW
PEAK WEALTH MANAGEMENT
PEAK WEALTH MANAGEMENT | PEAK WEALTH MANAGEMENT LLC

CRD#: 332411 / SEC#: 801-130972

RIA
Registered Investment Advisory firm - (8/22/2024 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
1

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PWM ADV PART 2A/2B (1/27/2026)

Regulatory assets under management

Total Number of Accounts127
AUM (Assets Under Management)$ 38,960,000

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.

Company Information

PEAK WEALTH MANAGEMENT

CRD#: 332411Saratoga Springs, NY 12866

TRUST BUT VERIFY

Monitor James Cox

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Thomas Sechler
Richard SechlerAdvisorCheck Check Mark
ALLSTATE FINANCIAL SERVICES, LLC
PR
LINCOLN, NE
RS
Richard StumpfAdvisorCheck Check Mark
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
IAR
RR
Wichita, KS
LC
Lawana CooperAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
PR
WEEHAWKEN, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.