Vision Financial Markets LLC

Vision Financial Markets LLC (“Vision”) is registered with the Securities and Exchange Commission as a self-clearing securities broker/dealer. Vision serves the needs of direct securities traders, investment advisors and other broker/dealers through its correspondent services. This includes providing clearing services in equities, options and fixed income. Vision is committed to delivering cutting-edge solutions required by active trading customers. Therefore, we provide our customers with options to select access to a variety of electronic markets, on various order entry and analytical trading platforms provided by independent software vendors. This suite of products can meet the various needs of either professional or retail traders, including the ability to write to various Application Programming Interfaces. Our designated self-regulatory organization is Chicago Board Options Exchange. We are also audited annually by an independent accountant. Vision seeks to adhere to sound, conservative business principles so that it retains the trust and reliance, as a business partner, that our customers desire and deserve. Vision’s owners have a large personal investment stake in Vision’s net capital. Additionally, Vision’s capital has always been primarily invested in U.S. Treasuries and AA/AAA rated short-term securities. Vision’s goal is to provide its valued customers the best possible service and support to help them reach their investment goals. Vision maintains memberships with the Depository Trust Clearing Corporation (“DTCC”) and the Options Clearing Corporation (“OCC”). DTCC and OCC, as clearinghouses, attempt to promote stability in the financial marketplace by implementing effective risk management policies. This strengthens the integrity of the financial markets cleared, with the hope of protecting the interests of its clearing members, and ultimately their customers. Vision is a privately held company located in Stamford, Connecticut.