James Thomas Cox
Investment Adviser Representative at PEAK Wealth Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Thomas Cox is an investment adviser representative with PEAK Wealth Management in Saratoga Springs, NY, where they have been registered since 2024. They have worked in the securities industry since 2014 and have been registered with 3 firms, including Continuum Wealth Advisors, LLC and Retirement Planning Group, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 6 (investment company and variable products). They are registered to provide investment advice in New York.
Registrations & licenses
- Investment adviser:
- New York
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Retirement Planning Group, LLCMar 2015 – Jan 2023Malta, NY
- Ameritas Investment CorpMar 2015 – Dec 2018Lincoln, NE
- Securities Service NetworkJan 2019 – Sep 2020Saratoga Springs, NY
- SSN Advisory, Inc.Jan 2019 – Sep 2020Saratoga Springs, NY
- Securities America, Inc.Sep 2020 – Jan 2021Malta, NY
- Arbor Point AdvisorsSep 2020 – Dec 2020Malta, NY
- Purshe Kaplan Sterling InvestmentsJan 2021 – Feb 2023Albany, NY
- Continuum Wealth Advisors, LLCFeb 2023 – Jun 2024Saratoga Springs, NY
- Peak Wealth Management LLCJul 2024 – no end date reportedBallston Spa, NY
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About PEAK Wealth Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Wealth management services including understanding client values, creating achievable goals, crafting a financial plan, and implementing and reviewing that plan. Offered in-person in Saratoga Springs, NY or remotely via video call.
Client types the firm serves
Firm assets under management
Under $100M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Saratoga Springs, NY
- SEC file number:
- 801-130972
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 10, 2026
View full firm profileSimilar advisors in Saratoga Springs, NY
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Thomas Cox has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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