Full text of VISION BROKERAGE SERVICES, LLC's X-17A-5 filed 2020-08-31 (period 2020-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **PUBLIC** {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, l).C. 20549** | 0MB APPROVAL | | | | | |---------------------------|-----------------|--|--|--| | 0MB Number: | 3235-0123 | | | | | Expires: | August 31, 2020 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | # **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** | SEC FILE NUMBER | |-----------------| | B-51966 | | | **FACING PAGE Information Required of Brokers and Dealers Pursuant** to **Section 17 of the Securities Exchange Act of 1934 and Rule l 7a-5 Thereunder** | REPORT FOR THEPERIODBEGINNINGJULY 1, 2019 | | | ANDENDINGJUNE 30, 2020 | | |-------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-------------------|--------------------------------|--| | | MM/0 0/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: VISION BROKERAGE SERVICES L.L.C. | | OFFICIAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FIRM I.D. NO. | | | 120 LONG RIDGE ROAD, 3 NORTH | | | | | | | (No. ond Street) | | | | | STAMFORD | CT | | 06902 | | | (City) | (State) | | (Zip Code) | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>HOWARD ROTHMAN | | | (203)388-2660 | | | | | | (Area Code - Telephone Number) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNT ANT whose opinion is contained in this Report•<br>PKF O'CONNOR DAVIES, LLP | | | | | | | (Name - if individual, state las/, first, middle name) | | | | | 665 FIFTH AVENUE | NEW YORK | NY | 10022 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | I I<br>jcertified Public Accountant | | | | | | Pu bli c Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | *\*Claims/or exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis/or the exemption. See Section 240. l 7a-5(e)(2)* > **Potentlal persons who are to respond to the collectlon of Information contained In this form are not required to respon…Read the full text as markdown