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James Thomas Cox

Peak Wealth Management

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About James Thomas Cox

James Thomas Cox is a financial advisor with Peak Wealth Management. James is a CERTIFIED FINANCIAL PLANNER™ professional and a CHARTERED FINANCIAL CONSULTANT® professional. James has over a decade of experience in the financial services industry, with previous roles at Purshe Kaplan Sterling Investments, Securities America, Inc., Securities Service Network, LLC, Ameritas Investment Corp., and Mercer Allied Company, L.P.. James is registered in the state of New York as an Investment Advisor Representative. Peak Wealth Management is a registered investment advisor firm located in Saratoga Springs, New York.

Firm Information

James Cox is currently registered with Peak Wealth Management. Peak Wealth Management is an independent Registered Investment Advisor (RIA) located in Saratoga Springs, NY. The firm provides financial planning and portfolio management services to individuals and families. Peak Wealth Management has approximately $26 million in assets under management (AUM). They serve a client base of primarily individuals other than high-net-worth individuals.
Peak Wealth Management

125 HIGH ROCK AVENUE

SARATOGA SPRINGS, NY 12866

$26.05M

Assets Under Management

Not reported

Total Clients

1

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Cox’s Registration & Firm History

NY

08/22/2024 - Present

Peak Wealth Management (SARATOGA SPRINGS NY)

NY

01/12/2021 - 02/06/2023

PURSHE KAPLAN STERLING INVESTMENTS (Malta NY)

NY

09/18/2020 - 01/05/2021

SECURITIES AMERICA, INC. (Malta NY)

NY

01/02/2019 - 09/18/2020

SECURITIES SERVICE NETWORK, LLC (Malta NY)

NY

04/08/2015 - 12/31/2018

AMERITAS INVESTMENT CORP. (SARATOGA SPRINGS NY)

NY

09/12/2013 - 01/22/2015

MERCER ALLIED COMPANY, L.P. (SARATOGA SPRINGS NY)

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Licenses & Designations

BOTH

Issued 08/19/2014

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/12/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Thomas Cox.
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