Michael B. Torrence

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CRD#: 6906009

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Bernard Torrence, who also goes by Michael Torrence, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2018. Michael had worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Torrence

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 4, 2019 - October 22, 2025

ALPHA WEALTH FUNDS, LLC

RIA

CRD#: 150231

PARK CITY, UT

Past

April 9, 2018 - September 17, 2018

ALPINE SECURITIES CORPORATION

CRD#: 14952

SALT LAKE CITY, UT

Past

March 5, 2018 - April 18, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALT LAKE CITY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALPHA WEALTH FUNDS, LLC

ALPHA WEALTH FUNDS, LLC | HSAX & CO., LLC | H. SAX & CO., LLC | H. SAX & CO.

CRD#: 150231 / SEC#: 801-132551

RIA

Registered Investment Advisory firm - (4/25/2025 Approved)

North Carolina

Registered Investment Advisory firm - (2/17/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2025 Terminated)

Utah

Registered Investment Advisory firm - (4/28/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/28/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/17/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2018

General Securities Representative Examination

Current Firm

ALPHA WEALTH FUNDS, LLC

ALPHA WEALTH FUNDS, LLC | HSAX & CO., LLC | H. SAX & CO., LLC | H. SAX & CO.

CRD#: 150231 / SEC#: 801-132551

RIA

Registered Investment Advisory firm - (4/25/2025 Approved)

North Carolina

Registered Investment Advisory firm - (2/17/2020 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2025 Terminated)

Utah

Registered Investment Advisory firm - (4/28/2025 Terminated)

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Contact information

Main Address

1887 Gold Dust Lane Suite 203 A, Park City, UT 84060

Mailing Address

Phone number

(435) 269-4100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROCHURE UPDATE- MARCH 2025 (9/15/2025)

Regulatory assets under management

Total Number of Accounts	572
AUM (Assets Under Management)	$ 190,022,617

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael B. Torrence

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ALPHA WEALTH FUNDS, LLC

ALPINE SECURITIES CORPORATION

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

ALPHA WEALTH FUNDS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2018

Series 63

Date: 3/17/2018

SIE

Date: 9/17/2018

Series 7

Date: 3/5/2018

Current Firm

ALPHA WEALTH FUNDS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA WEALTH FUNDS, LLC

TRUST BUT VERIFY

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