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Find, Compare and Monitor Financial Advisors at VISION FINANCIAL MARKETS LLC

CRD#: 142271
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Where the Statistical Data for VISION FINANCIAL MARKETS LLC Comes From

Understanding the Statistics for VISION FINANCIAL MARKETS LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
No Information
Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
32

FIRM INFORMATION

Main Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Mailing Address
1010 Washington Blvd Suite 300, Stamford, CT 06901
Firm Size
Small
Phone Number
(203) 388-2700
Established
Delaware since 05/15/2006
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS

Customer Relationship Summary (CRS / FINRA)

DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
ROTHMAN, HOWARD MARTINPRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER1098190
ROTHMAN, MICHAEL DAVIDGENERAL MANAGER6682487
FELAG, JOHN CHRISTOPHERCHIEF RISK OFFICER1874602
HERRITT, JOSHUA DAVIDVP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP6205459
KARAFA, JOHN MICHAELCHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP2927594
MARTINEZ, ANAVICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER5288054

The Importance of Understanding a Firm’s Role when Evaluating an Advisor

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Advisor's working at VISION FINANCIAL MARKETS LLC

ER

Emanuel Andres Romero-vicini

Andres Romero, Emanuel Andres Romero, Manny Romero, Emanuel Andrew Romero-Vicini
IAR
RR
CRD#: 2887156
Location:
Stamford, CT 06901

Registered Affiliation(s):VISION INVESTMENT ADVISORS, LLC

Disclosures:
Experience:
29 years
JF

John Christopher Felag

RR
CRD#: 1874602
Location:
Stamford, CT 06901

Registered Affiliation(s):VISION BROKERAGE SERVICES, LLC

Disclosures:
Experience:
37 years
SF

Steven Edward Freed

IAR
RR
CRD#: 4539715
Location:
Delray Beach, FL

Registered Affiliation(s):VISION INVESTMENT ADVISORS, LLC

Disclosures:
Experience:
25 years

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