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RIA / WealthAdvisor29 years in industry

Tracy Hope Harlow

Advisor at OAKWORTH ASSET MANAGEMENT, LLC

BIRMINGHAM, AL

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Search this name across graphsid dfx:ria:53b99634-7dff-09fb-6704-e5248ec96d82

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 15, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OAKWORTH ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 24, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 24, 1997
First registration: Mar 15, 2002
Dual registered: no
Other names: TRACY HOPE HARLOW|TRACY HARLOW
IAPD individual key: 2629945

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OAKWORTH ASSET MANAGEMENT, LLC	Independent wealth	May 14, 2026	n/a	yes	BIRMINGHAM, AL	Current employment
STONEX ADVISORS INC.	Bd affiliated wealth	Sep 21, 2021	Jun 12, 2024	no	BIRMINGHAM, AL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Nov 2, 2016	Sep 16, 2021	no	BIRMINGHAM, AL\|BIRMINGHAM, AL	Previous registration
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Jun 26, 2014	Oct 7, 2016	no	Birmingham, AL	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Apr 19, 2007	Jun 13, 2014	no	BIRMINGHAM, AL	Previous registration
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	n/a	Mar 15, 2002	Aug 20, 2004	no	BIRMINGHAM, AL	Previous registration
AMSOUTH ASSET MANAGEMENT, INC.	n/a	Mar 15, 2002	Aug 20, 2004	no	BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STONEX ADVISORS INC.	OAKWORTH ASSET MANAGEMENT, LLC	Jun 12, 2024	May 14, 2026	701	Firm change after gap	Ibd to RIA
CETERA INVESTMENT ADVISERS LLC	STONEX ADVISORS INC.	Sep 16, 2021	Sep 21, 2021	5	Firm change	Ibd to ibd
CONCOURSE FINANCIAL GROUP ADVISORS	CETERA INVESTMENT ADVISERS LLC	Oct 7, 2016	Nov 2, 2016	26	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	CONCOURSE FINANCIAL GROUP ADVISORS	Jun 13, 2014	Jun 26, 2014	13	Firm change	Other
AMSOUTH ASSET MANAGEMENT, INC.	AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	Aug 20, 2004	Mar 15, 2002	-889	Firm change after gap	Other
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Aug 20, 2004	Apr 19, 2007	972	Firm change after gap	Other

Relationships

Registered with (7)

→ OAKWORTH ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
May 14, 2026 to presentfactForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Sep 21, 2021 to Jun 12, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Nov 2, 2016 to Sep 16, 2021factForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Jun 26, 2014 to Oct 7, 2016factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Apr 19, 2007 to Jun 13, 2014factForm ADV
→ AMSOUTH ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 15, 2002 to Aug 20, 2004factForm ADV
→ AMSOUTH INVESTMENT MANAGEMENT COMPANY LLCRegistered adviserregistration: previous registration
Mar 15, 2002 to Aug 20, 2004factForm ADV

Dated events

Occurred
Jun 12, 2024
Advisor changed firm
Tracy Hope Harlow left Stonex Advisors Inc. for Oakworth Asset Management, Llc (registered 2026-05-14)
Form ADVobserved 6 days ago