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Tracy Hope Harlow

Oakworth Asset Management, LLC

Birmingham, AL

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Current Employers
Oakworth Asset Management, Llc

850 Shades Creek Parkway Suite 200, Birmingham, AL 35209 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2026-05-14
  • AL RA
    APPROVED
    Since 2026-05-14

Branch Locations

850 Shades Creek Parkway Suite 200, Birmingham, AL 35209 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Proequities Inc Birmingham AL 05/2014 10/2016
Regions Bank Birmingham AL 10/2016 08/2021
Cetera Investment Advisers Llc Birmingham AL 10/2016 08/2021
Cetera Investment Services Llc St.CLoud MN 10/2016 08/2021
Stonex Securities Inc. Birmingham AL 09/2021 06/2024
Stonex Advisors Inc. Birmingham AL 09/2021 06/2024
Stonex Financial Inc Birmingham AL 09/2021 06/2024
Stonex Group Inc Birmingham AL 09/2021 06/2024
Stonex Outsourced Services Llc Birmingham AL 08/2022 06/2024
Oakworth Capital Bank Birmingham AL 06/2024 Present
Oakworth Asset Management, Llc Birmingham AL 05/2026 Present
  • 05/2014 → 10/2016
    Proequities Inc
    Birmingham, AL
  • 10/2016 → 08/2021
    Regions Bank
    Birmingham, AL
  • 10/2016 → 08/2021
    Cetera Investment Advisers Llc
    Birmingham, AL
  • 10/2016 → 08/2021
    Cetera Investment Services Llc
    St.CLoud, MN
  • 09/2021 → 06/2024
    Stonex Securities Inc.
    Birmingham, AL
  • 09/2021 → 06/2024
    Stonex Advisors Inc.
    Birmingham, AL
  • 09/2021 → 06/2024
    Stonex Financial Inc
    Birmingham, AL
  • 09/2021 → 06/2024
    Stonex Group Inc
    Birmingham, AL
  • 08/2022 → 06/2024
    Stonex Outsourced Services Llc
    Birmingham, AL
  • 06/2024 → Present
    Oakworth Capital Bank
    Birmingham, AL
  • 05/2026 → Present
    Oakworth Asset Management, Llc
    Birmingham, AL
Previous Registrations
  • 2021-09-21 → 2024-06-12
    Stonex Advisors Inc.
    Birmingham, AL
  • 2016-11-02 → 2021-09-16
    Cetera Investment Advisers Llc
    Birmingham, AL
    Birmingham, AL
  • 2014-06-26 → 2016-10-07
    Concourse Financial Group Securities, Inc.
    Birmingham, AL
  • 2007-04-19 → 2014-06-13
    Northwestern Mutual Investment Services, Llc
    Birmingham, AL
  • 2002-03-15 → 2004-08-20
    Amsouth Asset Management, Inc.
    Birmingham, AL
  • 2002-03-15 → 2004-08-20
    Amsouth Investment Management Company Llc
    Birmingham, AL
Other Businesses

Oakworth Capital Bank; Investment Related; At Reported Business Location; Bank; Head of Wealth Operations; 05/2024; 160 hours/month during securities trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-12-10
S63 Uniform Securities Agent State Law Examination 1997-07-24
  • S65 Uniform Investment Adviser Law Examination
    2001-12-10
  • S63 Uniform Securities Agent State Law Examination
    1997-07-24
Other Names
  • Tracy Hope Harlow
  • Tracy Harlow

View on SEC IAPD

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Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
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CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
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STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

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