Full text of VISION FINANCIAL MARKETS LLC's X-17A-5 filed 2021-08-30 (period 2021-06-30). 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, 2021 PUBLIC {1}------------------------------------------------ **UNITEDSTAU:S SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 SEC FILE NUMBER 8-67447 ## **ANNUAL AUDITED REPORT FORM X-17A-5 PART Ill** **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 JULY 1, 2020<br>ANDENDINGJUNE 30, 2021 | | | | | |-------------------------------------------------------------------------------------------|------------------------------------------------------------------------|---------------------------------------------------------------------|---------------|--------------------------------|--| | | | MM/DD/YY<br>A. REGISTRANT IDENTIFICATION | | MM/DD/YY | | | | | | | | | | 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• | | | | | | | PKF O'CONNOR DAVIES, LLP | | | | | | | | | (Name - if individual, state last, first, middle name) | | | | | 500 MAMARONECK AVE. STE#301 | | HARRISON | NY | 10528 | | | (Address) | | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | | I<br>✓<br>Certified Public Accountant<br>B<br>Public 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 facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* > **Potential persons who are to respond to the collection of information co…Read the full text as markdown