Aimee J. Spencer

ALPHA WEALTH FUNDS

Saratoga Springs, UT

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CRD#: 7189559

Professional summary

Aimee Jackson Spencer, who also goes by Aimee Jackson, Aimee Spencer, is a registered financial advisor currently at ALPHA WEALTH FUNDS, LLC located in Saratoga Springs, Utah.

Aimee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Aimee has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Aimee Jackson | Aimee Spencer

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) - RIA

Click below to view Aimee Jackson Spencer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 20, 2025 - Present

ALPHA WEALTH FUNDS, LLC

RIA

CRD#: 150231

Saratoga Springs, UT

Past

January 10, 2020 - January 21, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alaska
(5/27/2025)

IAR

Colorado
(5/27/2025)

IAR

Illinois
(5/27/2025)

IAR

Puerto Rico
(5/27/2025)

IAR

Texas
(5/28/2025)

IAR

Utah
(2/20/2025)

IAR

Washington
(10/31/2025)

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 65

Date: 2/19/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/10/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/6/2019

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 9

Date: 4/18/2022

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 3/14/2022

General Securities Sales Supervisor - General Module 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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Firm Stability Insights

Aimee J. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aimee Jackson Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

ALPHA WEALTH FUNDS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/19/2025

Series 63

Date: 1/17/2020

Series 7TO

Date: 1/10/2020

SIE

Date: 12/6/2019

Series 9

Date: 4/18/2022

Series 10

Date: 3/14/2022

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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