CRD #142271 · FINRA BrokerCheck + SEC IAPD

Vision Financial Markets LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vision Financial Markets LLC ranks #159 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #5 of 111 on the same disclosure sort used on the state browse page. Vision Financial Markets LLC carries 34 BrokerCheck disclosures across 7 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
7
branch offices
34
disclosures
#159 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 142271 Vision Financial Markets LLC

Vision Financial Markets LLC · Grade C · 34 disc · 4.86/office · Small firm

  • CRD 142271
  • GRADE C
  • DISC 34
  • REG 34
  • ARB 0
  • CIV 0
  • BRANCH 7
  • PER-OFF 4.86
  • RANK #159 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Clearpool Execution Services, LLC (4.75 disc/office)

Clearpool Execution Ser…4.75TP Icap Global Markets …4.71Axiom Capital Managemen…5.00Vision Financial Ma… (this)4.86
Disclosures per office among small firm peers (lower is cleaner)

Vision Financial Markets LLC ranks #159 of 20,055 by disclosure count among graded broker-dealers; heavy load at 4.86 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

7 offices

FINRA: Small firm

Total disclosures

34 events

On FINRA BrokerCheck

Regulatory events

34 actions

100% of all disclosures

Disclosures per office

4.86 per office

34 ÷ 7 offices

Vision Financial Markets LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

5 a cleaner per-office record than 0% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). Below this entry. 3–4: 5 disclosing firms (0%). Below this entry. 4–4: 10 disclosing firms (1%). Below this entry. 4–4: 3 disclosing firms (0%). Below this entry. 4–4: 9 disclosing firms (1%). Below this entry. 4–5: 3 disclosing firms (0%). Below this entry. 5–5: 11 disclosing firms (1%). Below this entry. 5–5: 2 disclosing firms (0%). This entry sits in this band. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 34
Arbitrations 0
Civil Events 0
Total 34

Counts for Vision Financial Markets LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 34 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Stamford, CT
CRD Number
142271

Elevated disclosures per office

Vision Financial Markets LLC in the heavier-disclosure third

Vision Financial Markets LLC carries 34 BrokerCheck disclosures across 7 branch offices - a heavier-third raw book among graded firms (#159 of 20,055). Regulator-initiated events are 100% of the book (34 regulatory / 0 arbitration / 0 civil).

Vision Financial Markets LLC runs 4.86 disclosures per branch office (cleaner than only 100% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Vision Financial Markets LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Connecticut cohort · 9.63× state average

Vision Financial Markets LLC sits above the Connecticut disclosure average

Vision Financial Markets LLC reports 34 BrokerCheck disclosures, 9.63× the Connecticut average of 3.5 across 111 graded firms with a principal-office state on file.

In Connecticut, 76 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Connecticut state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Vision Financial Markets LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Vision Financial Markets LLC ranks #159 of 20,055 by disclosure count (most disclosures first). Among firms registered in CT, it ranks #5 of 111 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Vision Financial Markets LLC?
A grade of C reflects Vision Financial Markets LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 34 total disclosures across 7 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Vision Financial Markets LLC have?
Vision Financial Markets LLC has 34 total FINRA disclosures, including 34 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Vision Financial Markets LLC?
Vision Financial Markets LLC operates 7 branch offices and is classified by FINRA as a small firm, registered in CT (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Vision Financial Markets LLC's disciplinary record?
You can verify Vision Financial Markets LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 142271. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Vision Financial Markets LLC's 34 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Vision Financial Markets LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Vision Financial Markets LLC carries 34 disclosures across 7 branch offices (about 4.86 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Vision Financial Markets LLC, both outside CT so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.