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  5. VISION FINANCIAL MARKETS LLC

VISION FINANCIAL MARKETS LLC

Company Details

Entity Name: VISION FINANCIAL MARKETS LLC
Jurisdiction: Connecticut
Legal type: LLC
Citizenship: Foreign
Status: Active
Sub status: Annual report due
Date Formed: 31 May 2006
Business ALEI: 0861567
Annual report due: 31 Mar 2025
NAICS code: 523150 - Investment Banking and Securities Intermediation
Business address: 120 LONG RIDGE RD. 3 NORTH, STAMFORD, CT, 06902, United States
Mailing address: 120 LONG RIDGE RD. 3 NORTH, STAMFORD, CT, United States, 06902
Mailing jurisdiction address: 1209 ORANGE STREET STE 403S, WILMINGTON, DE, 19805, United States
Office jurisdiction address: 1013 CENTRE ROAD STE 403S, WILMINGTON, DE, 19805, United States
ZIP code: 06902
County: Fairfield
Place of Formation: DELAWARE
E-Mail: SRAYMOND@VFMARKETS.COM

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SA 2023 205025868 2024-07-23 VISION FINANCIAL MARKETS LLC 82
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2024-07-23
Name of individual signing NICK RICE
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SA 2023 205025868 2024-10-02 VISION FINANCIAL MARKETS LLC 82
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2024-10-02
Name of individual signing VANESSA URREGO
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SA 2022 205025868 2023-06-27 VISION FINANCIAL MARKETS LLC 81
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2023-06-27
Name of individual signing SHIRLEY HORNER
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SA 2021 205025868 2022-07-14 VISION FINANCIAL MARKETS LLC 75
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2022-07-14
Name of individual signing SHIRLEY HORNER
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SA 2021 205025868 2022-09-21 VISION FINANCIAL MARKETS LLC 85
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2022-09-21
Name of individual signing SHIRLEY HORNER
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2020 205025868 2021-06-14 VISION FINANCIAL MARKETS, LLC 83
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD, 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2021-06-14
Name of individual signing ARLEEN TRAN
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2019 205025868 2020-05-18 VISION FINANCIAL MARKETS, LLC 78
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD, 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2020-05-18
Name of individual signing ARLEEN TRAN
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2018 205025868 2019-06-06 VISION FINANCIAL MARKETS, LLC 82
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD, 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2019-06-06
Name of individual signing ARLEEN TRAN
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2017 205025868 2018-07-16 VISION FINANCIAL MARKETS, LLC 86
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD, 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2018-07-16
Name of individual signing ARLEEN TRAN
Valid signature Filed with authorized/valid electronic signature
VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2016 205025868 2017-04-27 VISION FINANCIAL MARKETS, LLC 92
File View Page
Three-digit plan number (PN) 002
Effective date of plan 1988-01-01
Business code 523210
Sponsor’s telephone number 2128590263
Plan sponsor’s address 120 LONG RIDGE ROAD, 3 NORTH, STAMFORD, CT, 06902

Signature of
Role Plan administrator
Date 2017-04-27
Name of individual signing ARLEEN TRAN
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2017-04-27
Name of individual signing VISION FINANCIAL MARKETS LLC
Valid signature Filed with authorized/valid electronic signature

Agent

Name Role Business address Mailing address Phone E-Mail Residence address
HOWARD ROTHMAN Agent 120 LONG RIDGE RD 3 NORTH, STAMFORD, CT, 06902, United States 120 LONG RIDGE ROAD 3 NORTH, STAMFORD, CT, 06902, United States +1 203-388-2660 SRAYMOND@VFMARKETS.COM 62 AKBAR ROAD, STAMFORD, CT, 06902, United States

Officer

Name Role Business address Phone E-Mail Residence address
HOWARD ROTHMAN Officer 120 LONG RIDGE ROAD, 3 NORTH, STAMFORD, CT, 06902, United States +1 203-388-2660 SRAYMOND@VFMARKETS.COM 62 AKBAR ROAD, STAMFORD, CT, 06902, United States

Filing

Filing number Filing date Effective date Filing category Filing type Report year
BF-0012102852 2024-01-19 No data Annual Report Annual Report No data
BF-0011415255 2023-03-11 No data Annual Report Annual Report No data
BF-0010349954 2022-03-28 No data Annual Report Annual Report 2022
0007205304 2021-03-04 No data Annual Report Annual Report 2021
0006945523 2020-07-13 No data Annual Report Annual Report 2020
0006853137 2020-03-28 No data Annual Report Annual Report 2019
0006201178 2018-06-15 No data Annual Report Annual Report 2018
0005844579 2017-05-16 No data Annual Report Annual Report 2017
0005635616 2016-08-23 No data Change of Business Address Business Address Change No data
0005574048 2016-05-25 No data Annual Report Annual Report 2016

Related by officers

HOWARD ROTHMAN

MEDICAL EQUIPMENT INCOME FUND, LIMITED PARTNERSHIP INDEPENDENT STAMFORD LODGE JEWISH CEMETERY, INC. VISION INVESTMENT ADVISORS, LLC VISION BROKERAGE SERVICES, L.L.C. HIGH RIDGE HOLDING COMPANY LLC POWERCORE MANAGEMENT LLC WHITEHALL INVESTMENT MANAGEMENT, INC.

Related by address

120 LONG RIDGE RD. 3 NORTH, STAMFORD, CT, 06902, United States

VISION INVESTMENT ADVISORS, LLC VISION BROKERAGE SERVICES, L.L.C. HIGH RIDGE FUTURES LLC HIGH RIDGE HOLDING COMPANY LLC

120 LONG RIDGE RD. 3 NORTH, STAMFORD, CT, United States, 06902

VISION INVESTMENT ADVISORS, LLC VISION BROKERAGE SERVICES, L.L.C. HIGH RIDGE FUTURES LLC HIGH RIDGE HOLDING COMPANY LLC

1013 CENTRE ROAD STE 403S, WILMINGTON, DE, 19805, United States

VISION INVESTMENT ADVISORS, LLC J&E CAPITAL MANAGEMENT LLC

Date of last update: 06 Jan 2025

Sources: Connecticut's Official State Website

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