Tunisia D. Harrison

STRATCAP SECURITIES

NEW YORK, NY 10112

Some features on this profile are disabled

CRD#: 5322024

Professional summary

Tunisia Darlene Harrison, who also goes by Tunisia Darlene Harrison, Tunisia Darlene Shaw, is a registered financial professional currently at STRATCAP SECURITIES, LLC located in New York, New York and FIRSTRADE SECURITIES INC. located in Flushing, New York.

Tunisia is registered as a RR (Registered Representative) and started their career in finance in 2008. Tunisia has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tunisia Darlene Harrison | Tunisia Darlene Shaw

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) - BD

Click below to view Tunisia Darlene Harrison'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

November 8, 2024 - Present

STRATCAP SECURITIES, LLC

Office #1: 30 Rockefeller Plaza, Suite 2050, New York, NY 10112

CRD#: 151152

NEW YORK, NY

Current

April 30, 2025 - Present

FIRSTRADE SECURITIES INC.

Office #1: 30-50 Whitestone Expressway Suite A301, Flushing, NY 11354

CRD#: 16843

Flushing, NY

Current

August 5, 2025 - Present

HEALTHCARE COMMUNITY SECURITIES CORP.

Office #1: One Empire Drive, Rensselaer, NY 12144

RIA

CRD#: 32444

SAN DIEGO, CA

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".

HEALTHCARE COMMUNITY SECURITIES CORP.

HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026 / SEC#: 801-67370, 8-46981

RIA

Registered Investment Advisory firm - SEC (1/5/2007 Approved)

New York

Registered Investment Advisory firm - SEC (3/25/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(11/8/2024)

Nevada
(11/8/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/8/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 11/30/2009

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/23/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HEALTHCARE COMMUNITY SECURITIES CORP.

HANYS BENEFIT SERVICES | TRUEPLAN BENEFIT AND RETIREMENT ADVISORS | STRATEGIC BENEFIT SERVICES | HEALTHCARE COMMUNITY SECURITIES CORPORATION | HEALTHCARE COMMUNITY SECURITIES CORP.

CRD#: 36026 / SEC#: 801-67370, 8-46981

RIA

Registered Investment Advisory firm - SEC (1/5/2007 Approved)

New York

Registered Investment Advisory firm - SEC (3/25/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

One Empire Drive, Rensselaer, NY 12144

Mailing Address

One Empire Drive, Rensselaer, NY 12144

Phone number

(518) 431-7600

Established

New York since 07/21/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (4 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HEALTHCARE COMMUNITY SECURITIES CORP ADV BROCHURE (3/20/2025)

Direct owners and executive officers

Name	Position	CRD#
GROUP INSURANCE AGENCY	PARENT CORPORATION
BORYSZAK, MARTIN W	BOARD OF DIRECTOR	7879632
BUCK, NOAH PATRICK	PRESIDENT	7071368
CUSACK, MICHELE L.	BOARD OF DIRECTOR	8030752
GELLER, MARK ELI	BOARD OF DIRECTOR	7880534
HAYES, MARY KATHERINE	CFO	6496056
LAROSE, JENNIFER	CHIEF COMPLIANCE OFFICER	3094139
MANZER, ANDREW RAYMOND	BOARD OF DIRECTOR	6852044
MCCOLLUM, CYNTHIA	BOARD OF DIRECTOR	7564445
RATNER, JOSHUA S	BOARD OF DIRECTOR	7880541
SCHILLER, JONATHAN DAVID	BOARD OF DIRECTOR	7880562
SMITH, JAMES	BOARD OF DIRECTOR	8030764
THOMAS, HUGH RICHARD	BOARD OF DIRECTOR	6852059
VERZI, DENNIS JAMES	BOARD OF DIRECTORS	6468921

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 4,551,889,453

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Tunisia D. Harrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tunisia Darlene Harrison's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRSTRADE SECURITIES INC.

HEALTHCARE COMMUNITY SECURITIES CORP.

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

UPSIDE MARKETPLACE, LLC

FIRST AVENUE

ACRETRADER FINANCIAL, LLC

M HOLDINGS SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

Primary Firm SEC Registration

HEALTHCARE COMMUNITY SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/2010

SIE

Date: 10/1/2018

Series 7

Date: 5/16/2008

Series 51

Date: 11/30/2009

Series 24

Date: 12/23/2008

FINRA

Current Firm

HEALTHCARE COMMUNITY SECURITIES CORP.

Contact information

SEC notice filing (4 States and Territories)

FINRA licenses (3 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HEALTHCARE COMMUNITY SECURITIES CORP.

TRUST BUT VERIFY

Similar Advisors