Tracy Harlow has been an investment adviser representative at Oakworth Asset Management since May 2026, and is not listed among the firm’s executive officers or direct owners.
Oakworth Asset Management, LLC is a Birmingham, AL firm with $846M under management, 565 clients and 19 advisers across 4 offices, as of its March 2026 filing.
Tracy Harlow’s longest registration was 7 years at Northwestern Mutual Investment Services,llc (2007–2014). Before joining Oakworth Asset Management in 2026, Tracy Harlow was registered through Stonex Advisors Inc. and Cetera Investment Advisers LLC.
- – present · under a yearBirmingham, AL · Adviser representative · Firm CRD 335388
- Stonex Advisors Inc.– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 174182
- Cetera Investment Advisers LLC– · 4 yearsBirmingham, AL · Adviser representative · Firm CRD 105644
- Investment Advisors– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 15708
- Northwestern Mutual Investment Services,llc– · 7 yearsBirmingham, AL · Adviser representative · Firm CRD 2881
- Amsouth Asset Management, Inc.– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 111554
- Amsouth Investment Management Company LLC– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 111757
Investment adviser representative registrations
Tracy Harlow is registered as an investment adviser representative in Alabama, since May 2026.
- AlabamaSince 14 May 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 16 June 2007 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 22 May 2007 |
| Series 65 | Uniform Investment Adviser Law Examination | 10 December 2001 |
| Series 24 | General Securities Principal Examination | 21 April 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 July 1997 |
| Series 7 | General Securities Representative Examination | 20 March 1997 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Tracy Hope Harlow
- CRD
- 2629945
- Firm
- Oakworth Asset Management · CRD 335388
- Office
- 850 SHADES CREEK PARKWAY, SUITE 200, Birmingham, AL 35209
- Registration
- Investment adviser registration
- In the industry since
- December 1999
- Disciplinary history
- Not yet shown here · SEC record
Where does Tracy Harlow work?
Tracy Harlow is an investment adviser representative registered through Oakworth Asset Management, LLC since May 2026, and is not listed among the firm’s executive officers or direct owners.
Is Tracy Harlow a financial advisor?
Yes. Tracy Harlow has a current investment-adviser registration in Alabama, through Oakworth Asset Management since May 2026.
How many years of experience does Tracy Harlow have?
Tracy Harlow has 26 years in the financial industry, since December 1999, across 7 adviser firms.
What exams has Tracy Harlow passed?
Tracy Harlow has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 10, Series 9 and Series 99TO. The earliest, the Series 7, was passed in March 1997. FINRA credited Tracy Harlow with the SIE, which began in October 2018.
Where did Tracy Harlow work before Oakworth Asset Management?
Before Oakworth Asset Management, Tracy Harlow was registered through Stonex Advisors Inc., September 2021 to June 2024; Cetera Investment Advisers LLC, November 2016 to September 2021; Investment Advisors, June 2014 to October 2016; Northwestern Mutual Investment Services,llc, April 2007 to June 2014; Amsouth Asset Management, Inc., March 2002 to August 2004; Amsouth Investment Management Company LLC, March 2002 to August 2004.
Where is Tracy Harlow based?
Tracy Harlow’s registered office is in Birmingham, AL.
Is Tracy Harlow registered with FINRA?
No. Tracy Harlow has no current broker registration.
How can I verify Tracy Harlow’s record?
Search CRD 2629945 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Tracy Harlow’s full registration record.
