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TH

Tracy H. Harlow

Some features on this profile are disabled
CRD#: 2629945
TH

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.

Tracy Hope Harlow, who also goes by Tracy Hope Harlow, Tracy Harlow, was a registered financial professional .

Tracy is a previously registered financial professional and started their career in finance in 1997. Tracy had worked at 17 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"?
No

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)

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

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

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.

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

SO
STONEX OUTSOURCED SERVICES LLC
CRESSMAN ESSER SECURITIES LLC | STONEX OUTSOURCED SERVICES LLC | MARIANA CAPITAL USA, LLC | INTL FILLMORE ADVISORS LLC | FILLMORE ADVISORS, LLC | FILLMORE ADVISOR, LLC | CRESSMAN ESSER SECURITIES, INC.

CRD#: 30773 / SEC#: , 8-45150

BD
Terminated by SEC on 03/25/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/30/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPLAN, ANDREW BOGENPRESIDENT/CHIEF EXECUTIVE OFFICER4235343
OLSSON, JAMES MARTINCCO/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER6331790

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

STONEX OUTSOURCED SERVICES LLC

CRD#: 30773

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