JK
John M. Karafa
VISION INVESTMENT ADVISORS
STAMFORD, CT 06901
Some features on this profile are disabled
CRD#: 2927594
JK
Professional summary
John Michael Karafa is a registered financial advisor currently at VISION INVESTMENT ADVISORS, LLC located in Stamford, Connecticut and VISION FINANCIAL MARKETS LLC located in New York, New York.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. John has worked at 5 firms and has passed the Series 66, Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
High Ridge Futures LLC is located at 1010 Washington Blvd Stamford CT 06901. Investment related. Start date: 11/2014. High Ridge Futures LLC is a Futures introducing brokerage firm. Mr. Karafa is a Vice President and Risk Manager. He spends 10 hours working per month, 10 hours working during trading hours. Stratford Storm Lacrosse - Sterling House Community Center. Lacrosse Director. 2283 Main Street Stratford CT 06615. Non-investment related. Start date March 2016. Responsible for coaching and scheduling. He spends 40 hours working per month, 0 hours working during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view John Michael Karafa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 13, 2013 - Present
VISION INVESTMENT ADVISORS, LLC
Office #1: 1010 Washington Blvd Suite 300, Stamford, CT 06901RIA
CRD#: 109621
STAMFORD, CT
Current
November 13, 2013 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 75 Broad Street, New York, NY 10004Office #2: 1010 Washington Blvd, Suite 300, Stamford, CT 06901Office #3: 1010 Washington Blvd Suite 300, Stamford, CT 06901BD
CRD#: 142271
New York, NY
Current
August 15, 2014 - Present
VISION BROKERAGE SERVICES, LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901BD
CRD#: 47927
Stamford, CT
Past
March 17, 2011 - November 13, 2013
SOURCE CAPITAL GROUP, INC.
RIA
CRD#: 36719
WESTPORT, CT
Past
December 1, 2001 - November 13, 2013
SOURCE CAPITAL GROUP, INC.
BD
CRD#: 36719
WESTPORT, CT
Past
September 10, 1999 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
BD
CRD#: 30576
WESTPORT, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/4/2021)
RR
Alaska(1/4/2021)
RR
Arizona(1/4/2021)
RR
Arkansas(1/4/2021)
RR
California(1/4/2021)
RR
Colorado(1/4/2021)
RR
Connecticut(11/13/2013)
IAR
Connecticut(11/13/2013)
RR
Delaware(1/4/2021)
RR
District of Columbia(1/4/2021)
RR
Florida(1/4/2021)
RR
Georgia(1/4/2021)
RR
Hawaii(1/4/2021)
RR
Idaho(1/4/2021)
RR
Illinois(1/4/2021)
RR
Indiana(1/4/2021)
RR
Iowa(1/4/2021)
RR
Kansas(1/4/2021)
RR
Kentucky(1/4/2021)
RR
Louisiana(1/4/2021)
RR
Maine(1/4/2021)
RR
Maryland(1/4/2021)
RR
Massachusetts(1/4/2021)
RR
Michigan(1/4/2021)
RR
Minnesota(1/4/2021)
RR
Mississippi(1/4/2021)
RR
Missouri(1/4/2021)
RR
Montana(1/4/2021)
RR
Nebraska(1/4/2021)
RR
Nevada(1/4/2021)
RR
New Hampshire(1/4/2021)
RR
New Jersey(1/4/2021)
RR
New Mexico(1/4/2021)
RR
New York(11/12/2020)
RR
North Carolina(1/4/2021)
RR
North Dakota(1/4/2021)
RR
Ohio(1/4/2021)
RR
Oklahoma(1/4/2021)
RR
Oregon(1/4/2021)
RR
Pennsylvania(1/4/2021)
RR
Puerto Rico(1/4/2021)
RR
Rhode Island(1/4/2021)
RR
South Carolina(1/4/2021)
RR
Tennessee(1/4/2021)
RR
Texas(1/4/2021)
RR
Utah(1/4/2021)
RR
Vermont(1/4/2021)
RR
Virginia(1/4/2021)
RR
Washington(1/4/2021)
RR
West Virginia(1/4/2021)
RR
Wisconsin(1/4/2021)
RR
Wyoming(1/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 5/3/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
VI
VISION INVESTMENT ADVISORS, LLC
VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC
CRD#: 109621 / SEC#: 801-57975
RIA
Registered Investment Advisory firm - (9/22/2000 Approved)California
Registered Investment Advisory firm - (11/11/2015 Terminated)Connecticut
Registered Investment Advisory firm - (10/13/2015 Terminated)Florida
Registered Investment Advisory firm - (10/12/2015 Terminated)Illinois
Registered Investment Advisory firm - (10/15/2015 Terminated)Michigan
Registered Investment Advisory firm - (10/26/2015 Terminated)Nebraska
Registered Investment Advisory firm - (10/12/2015 Terminated)New Jersey
Registered Investment Advisory firm - (10/29/2015 Terminated)New York
Registered Investment Advisory firm - (10/12/2015 Terminated)South Dakota
Registered Investment Advisory firm - (12/31/2015 Terminated)Tennessee
Registered Investment Advisory firm - (10/16/2015 Terminated)Texas
Registered Investment Advisory firm - (10/12/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
Phone number
(203) 388-2700
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 98 |
| AUM (Assets Under Management) | $ 117,879,479 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/24/2023 | ||
| 11/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
