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FIRM PROFILE
Overview
VISION BROKERAGE SERVICES, LLC is located at 1010 Washington Blvd Suite 300, Stamford, CT 06901 and was first established at Boston, New York in 06/22/1999. After operating for 26 years, VISION BROKERAGE SERVICES, 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 BROKERAGE SERVICES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. VISION BROKERAGE SERVICES, 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 BROKERAGE SERVICES, LLC are registered to handle securities or provide financial advice. The firm has 4 disclosures, 4 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 BROKERAGE SERVICES, 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 BROKERAGE SERVICES, 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.
Where the Statistical Data for VISION BROKERAGE SERVICES, LLC Comes From
Understanding the Statistics for VISION BROKERAGE SERVICES, 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
New York since 06/22/1999
Limited Liability Company
June
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | ||
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 | |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 | |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 | |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
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Advisor's working at VISION BROKERAGE SERVICES, LLC
Ana Martinez
Howard Martin Rothman
John Michael Karafa
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