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FIRM PROFILE
Overview
VISION FINANCIAL MARKETS LLC is located at 1010 Washington Blvd Suite 300, Stamford, CT 06901 and was first established at Boston, Delaware in 05/15/2006. After operating for 19 years, VISION FINANCIAL MARKETS LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of VISION FINANCIAL MARKETS LLC’s clients are individuals and 0% of their clients are high net worth individuals. VISION FINANCIAL MARKETS LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at VISION FINANCIAL MARKETS LLC are registered to handle securities or provide financial advice. The firm has 32 disclosures, 32 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access VISION FINANCIAL MARKETS LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at VISION FINANCIAL MARKETS LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
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Understanding the Statistics for VISION FINANCIAL MARKETS LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
1010 Washington Blvd Suite 300, Stamford, CT 06901
1010 Washington Blvd Suite 300, Stamford, CT 06901
Small
(203) 388-2700
Delaware since 05/15/2006
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 | |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 | |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 | |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 | |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 | |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
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Advisor's working at VISION FINANCIAL MARKETS LLC
Steven Edward Freed
Luke David Berte
Andrew K Ribbens
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