Full text of VISION BROKERAGE SERVICES, LLC's X-17A-5 filed 2023-09-27 (period 2023-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART** Ill | SEC FILE NUMBER | | |-----------------|--| | 8-51966 | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | |---------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------|--------------------------------------------|--|--|--|--| | FILING FOR THE PERIOD BEGINNING | __<br>__<br>0_7_/0_<br>1 /_2_2<br>AND ENDING<br>MM/DD/VY | 0_6_/3_0_/_2_3 __<br>__<br>MM/DD/VY | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME oF FIRM: Vision Brokerage Services, L.L.C. | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>l!l Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | 0 Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | 120 Long Ridge Road, 3 North | | | | | | | | | (No. and Street) | | | | | | | Stamford | CT | 06902 | | | | | | (City) | (State) | (Zip Code) | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | Howard Rothman | (203 )388-2660 | hrothman@vfmarkets.com | | | | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>PKF O'Connor Davies, LLP | | | | | | | | | (Name- If Individual, state last, first, and middle name) | | | | | | | 245 Park Avenue, 12th Floor | New York | NY<br>10167 | | | | | | (Address)<br>09/29/2003 | (City) | (State)<br>(Zip Code)<br>127 | | | | | | (Date of Reglsnatlon with PCAOB)llf ilpplk.able)' | FOR OFFICIAL USE ONLY | (PCAO8 Registration Number, if applicable) | | | | | • Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a•S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of Information containe…Read the full text as markdown