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TH

Tracy H. Harlow

OAKWORTH ASSET MANAGEMENT
BIRMINGHAM, AL 35209
Some features on this profile are disabled
CRD#: 2629945
TH

Professional summary

Tracy Hope Harlow, who also goes by Tracy Hope Harlow, Tracy Harlow, is a registered financial advisor currently at OAKWORTH ASSET MANAGEMENT, LLC located in Birmingham, Alabama.

Tracy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Tracy has worked at 18 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Tracy Hope Harlow | Tracy Harlow

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 Tracy Hope Harlow'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

May 14, 2026 - Present

OAKWORTH ASSET MANAGEMENT, LLC

Office #1: 850 Shades Creek Parkway Suite 200, Birmingham, AL 35209
RIA
CRD#: 335388
BIRMINGHAM, AL
Past

August 18, 2022 - June 12, 2024

STONEX OUTSOURCED SERVICES LLC

BD
CRD#: 30773
PARK CITY, UT
Past

September 23, 2021 - June 12, 2024

STONEX FINANCIAL INC.

BD
CRD#: 45993
BIRMINGHAM, AL
Past

September 21, 2021 - June 12, 2024

STONEX ADVISORS INC.

RIA
CRD#: 174182
BIRMINGHAM, AL
Past

September 20, 2021 - June 12, 2024

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

November 2, 2016 - September 16, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
BIRMINGHAM, AL
Past

November 2, 2016 - September 16, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
BIRMINGHAM, AL
Past

June 26, 2014 - October 7, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
BIRMINGHAM, AL
Past

June 12, 2014 - October 7, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

April 19, 2007 - June 13, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
BIRMINGHAM, AL
Past

March 27, 2007 - June 13, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
BIRMINGHAM, AL
Past

December 7, 2006 - March 16, 2007

FSC SECURITIES CORPORATION

BD
CRD#: 7461
BIRMINGHAM, AL
Past

September 2, 2004 - April 13, 2006

HMC INVESTMENTS, LLC

BD
CRD#: 40581
BIRMINGHAM, AL
Past

March 15, 2002 - August 20, 2004

AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC

RIA
CRD#: 111757
BIRMINGHAM, AL
Past

March 15, 2002 - August 20, 2004

AMSOUTH ASSET MANAGEMENT, INC.

RIA
CRD#: 111554
BIRMINGHAM, AL
Past

October 30, 2001 - August 23, 2004

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

May 13, 1999 - April 6, 2000

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

May 3, 1999 - October 17, 2001

SOUTHTRUST SECURITIES, LLC

BD
CRD#: 17922
BIRMINGHAM, AL
Past

February 16, 1998 - May 19, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 7, 1997 - March 15, 1998

NBC SECURITIES, INC.

BD
CRD#: 17870
BIRMINGHAM, AL

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".
OA
OAKWORTH ASSET MANAGEMENT, LLC
OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA
Registered Investment Advisory firm - (7/1/2025 Approved)

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
Alabama
(5/14/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/10/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/16/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 5/22/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/21/2000
General Securities Principal Examination

Current Firm

OA
OAKWORTH ASSET MANAGEMENT, LLC
OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388 / SEC#: 801-132789

RIA
Registered Investment Advisory firm - (7/1/2025 Approved)
Loading...

Contact information

Main Address
850 Shades Creek Parkway Suite 200, Birmingham, AL 35209
Mailing Address
Phone number
(205) 263-4700
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR OAKWORTH ASSET MANAGEMENT, LLC (12/16/2025)

Regulatory assets under management

Total Number of Accounts678
AUM (Assets Under Management)$ 757,410,003

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.

Company Information

OAKWORTH ASSET MANAGEMENT, LLC

CRD#: 335388Birmingham, AL 35209

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