James Thomas Cox

Employer firm

Peak Wealth Management CRD 332411

$39.0M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 2023-03-13 → 2024-07-01
  Continuum Wealth Advisors, Llc
  Saratoga Springs, NY
• 2021-07-26 → 2023-02-10
  Retirement Planning Group, Llc
  Malta, NY

Exams

• S66 Uniform Combined State Law Examination
  2014-08-19

Designations

• Certified Financial Planner
• Chartered Financial Consultant

Other Names

• Jt Cox