Full text of VISION FINANCIAL MARKETS 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}------------------------------------------------ # VISION FINANCIAL MARKETS LLC #### STATEMENT OF FINANCIAL CONDITION JUNE 30, 2020 PUBLIC {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D,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 | |-----------------| | | | 8-67447 | **FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | REPORT FOR THE PERIOD BEGINNING JUL y 1, 2019 | AND ENDING JUNE 30, 2020 | | | |------------------------------------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------| | | MM/DD/VY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: VISION FINANCIAL MARKETS LLC | | | 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, and 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 ACCOUNTANT whose opinion is contained in this Report+<br>PKF O'CONNOR DAVIES, LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 665 FIFTH AVENUE | NEW YORK | NY | 10022 | | (Address) | (City) | (State) | (Zip Code) | | CHECK ONE: | | | | | I I I<br>certified Public Accountant | | | | | Pu blic Accountant | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | *\*Claims for 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/acts and circumstances relied on as the basis/or the exemption. See Section 240.17a-5(e)(2)* > **Potential persona who are to respond to the collectlon of Information contained** In **this form are** not **required to respond unleee the form displays a currently valid 0MB control number.** SEC 1410 (11-05) {2}----------------------------…Read the full text as markdown