Full text of VISION FINANCIAL MARKETS LLC's X-17A-5/A filed 2022-09-09 (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 ANNUAL REPORT JUNE 30, 2021 CONFIDENTIAL TREATMENT REQUESTED {1}------------------------------------------------ ## **VISION** FINANCIAL MARKETS LLC ANNUAL REPORT JUNE 30, 2021 # **CONTENTS** PAGE | Facing Page -<br>Oath or Affirmation | 1-2 | |-------------------------------------------------------------------------------------------------------------------|-------| | Compliance Report | 3 | | Report of Independent Registered Public Accounting Firm | 4 | | Statement of Financial Condition | 5 | | Statement of Operations | 6 | | Statement of Changes in Subordinated Liabilities | 7 | | Statement of Changes in Members' Equity | 8 | | Statement of Cash Flows | 9 | | Notes to Financial Statements | 10-22 | | Supporting Schedules: | | | Computation of Net Capital Pursuant to Rule l 5c3-1 under the Securities<br>Exchange Act of 1934 ("SEA") | 23 | | Computation for Determination of the Reserve Requirement for Brokers<br>and Dealers Pursuant to SEA Rule 15c3-3 | 24 | | Information Relating to Possession or Control Requirements for Brokers and<br>Dealers Pursuant to SEA Rule 15c3-3 | 25 | Formula for Determination of PAB Account Reserve Requirements for Brokers and Dealers Under SEA Rule 15c3-3 26 #### **Supplemental Report:** Report of Independent Registered Public Accowiting Firm onExamination of the Compliance Report {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, l).C. 20549** # **ANNUAL AUDITED REPORT FORM X-17A-5 PARTIII** 0MB APPROVAL 0MB Number: 3235-0123 Expires: October 31, 2023 Estimated average burden hours per response ...... 12.00 > SEC FILE NUMBER B-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 THEPERIODBEGINNINGJULY 1, 2020 | | ANDENDINGJUNE 30, 2021 | | |--------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------|------------------------|--------------------------------| | | MM/DD/YY | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | NAME OF BROKER-DEALER: VISION FINANCIAL MARKETS LLC<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | FIRM I.D. NO. | | 120 LONG RIDGE ROAD, 3 NORTH…Read the full text as markdown