Unclaimed Profile

James Thomas Cox

PEAK WEALTH MANAGEMENT LLC·SARATOGA SPRINGS, New York

SIE, Series 6TO, Series 7, Series 66CFP ChFCClean record5 years registeredPEAK WEALTH MANAGEMENT LLC

125 HIGH ROCK AVENUE, SARATOGA SPRINGS, NY 12866CRD# 6174566Firm CRD# 332411

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Thomas Cox · SARATOGA SPRINGS, NY

Registration

CRD #6174566 · PEAK WEALTH MANAGEMENT LLC · 5 years registered

Brand Profile

Not yet started

Career History

PEAK WEALTH MANAGEMENT

Aug 2024 – present

CONTINUUM WEALTH ADVISORS, LLC

Mar 2023 – Jul 2024

SARATOGA SPRINGS, NY

RETIREMENT PLANNING GROUP, LLC

Jul 2021 – Feb 2023

MALTA, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 6TO

Series 7

Series 66

Registration record

First registered · July 26, 2021

Years registered · 5

Professional designations · CFP, ChFC

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PEAK WEALTH MANAGEMENT LLC

CRD 332411 · SEC 801-130972

AUM

$26M

Regulatory assets under management

Employees

88 client accounts

Services offered by PEAK WEALTH MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PEAK WEALTH MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does James Thomas Cox offer?

James Thomas Cox specializes in Financial Planning, Investment Management. Contact their office in SARATOGA SPRINGS, New York for a consultation.

What are James Thomas Cox's credentials?

James Thomas Cox holds the following professional designations: CFP, ChFC. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Thomas Cox located?

James Thomas Cox is based in SARATOGA SPRINGS, New York, working with PEAK WEALTH MANAGEMENT LLC. Their office serves clients in the SARATOGA SPRINGS metropolitan area and surrounding communities.

How does James Thomas Cox charge for services?

James Thomas Cox's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PEAK WEALTH MANAGEMENT LLC?

PEAK WEALTH MANAGEMENT LLC has approximately 1 employees and manages $26M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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