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Inactive

James Thomas Cox

Peak Wealth Management

Saratoga Springs, NY

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Current Employers
Peak Wealth Management

125 High Rock Avenue Suite 104, Saratoga Springs, NY 12866 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-08-22
  • NY RA
    APPROVED
    Since 2024-08-22

Branch Locations

125 High Rock Avenue Suite 104, Saratoga Springs, NY 12866 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Retirement Planning Group, Llc Malta NY 03/2015 01/2023
Ameritas Investment Corp Lincoln NE 03/2015 12/2018
Securities Service Network Saratoga Springs NY 01/2019 09/2020
Ssn Advisory, Inc. Saratoga Springs NY 01/2019 09/2020
Securities America, Inc. Malta NY 09/2020 01/2021
Arbor Point Advisors Malta NY 09/2020 12/2020
Purshe Kaplan Sterling Investments Albany NY 01/2021 02/2023
Continuum Wealth Advisors, Llc Saratoga Springs NY 02/2023 06/2024
Peak Wealth Management Llc Ballston Spa NY 07/2024 Present
  • 03/2015 → 01/2023
    Retirement Planning Group, Llc
    Malta, NY
  • 03/2015 → 12/2018
    Ameritas Investment Corp
    Lincoln, NE
  • 01/2019 → 09/2020
    Securities Service Network
    Saratoga Springs, NY
  • 01/2019 → 09/2020
    Ssn Advisory, Inc.
    Saratoga Springs, NY
  • 09/2020 → 01/2021
    Securities America, Inc.
    Malta, NY
  • 09/2020 → 12/2020
    Arbor Point Advisors
    Malta, NY
  • 01/2021 → 02/2023
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 02/2023 → 06/2024
    Continuum Wealth Advisors, Llc
    Saratoga Springs, NY
  • 07/2024 → Present
    Peak Wealth Management Llc
    Ballston Spa, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-19
  • S66 Uniform Combined State Law Examination
    2014-08-19
Designations
Other Names
  • Jt Cox

View on SEC IAPD

Other Firms

SARATOGA INVESTMENT SOLUTIONS INC.
COMMONWEALTH FINANCIAL NETWORK
JANNEY MONTGOMERY SCOTT LLC
CONTINUUM WEALTH ADVISORS, LLC
STERLING MANOR FINANCIAL, LLC
NYE STREET PARTNERS LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LPL FINANCIAL LLC

Other Investors

CYNTHIA ELIZABETH ZALEWSKY
BONNIE MARIE BOYCE
JEFFREY CHARLES VAHANIAN
CAMERON VICTORIA CORSI
Cory Matthew Larmour
ALAN JAY BOGATCH
JESSICA SUZANNE NILES
STEPHEN EDWARD KRAKOWER

Other Offices

SARATOGA INVESTMENT SOLUTIONS INC. · SARATOGA SPRINGS, NY
COMMONWEALTH FINANCIAL NETWORK · Saratoga Springs, NY
JANNEY MONTGOMERY SCOTT LLC · SARATOGA SPRINGS, NY
CONTINUUM WEALTH ADVISORS, LLC · SARATOGA SPRINGS, NY
STERLING MANOR FINANCIAL, LLC · SARATOGA SPRINGS, NY
NYE STREET PARTNERS LLC · SARATOGA SPRINGS, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SARATOGA SPRINGS, NY
LPL FINANCIAL LLC · SARATOGA SPRINGS, NY

More in Saratoga Springs, NY

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