401k Plan data: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN plan

VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 401k Plan overview

Plan Name	VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN
Plan identification number	002

VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Participant-directed brokerage accounts provided as an investment option under the plan.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan covering Self-Employed individuals.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).

401k Sponsoring company profile

VISION FINANCIAL MARKETS LLC has sponsored the creation of one or more 401k plans.

Company Name: VISION FINANCIAL MARKETS LLC

Employer identification number (EIN): 205025868

NAIC Classification: 523210
NAIC Description: Securities and Commodity Exchanges

Additional information about VISION FINANCIAL MARKETS LLC

Jurisdiction of Incorporation: State of Delaware Division of Corporations

Incorporation Date:

Company Identification Number: 4158936

More information about VISION FINANCIAL MARKETS LLC

Form 5500 Filing Information

Submission information for form 5500 for 401k plan VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
002 2022-01-01 SHIRLEY HORNER 2023-06-27
002 2021-01-01 SHIRLEY HORNER 2022-07-14
002 2021-01-01 SHIRLEY HORNER 2022-09-21
002 2020-01-01 ARLEEN TRAN 2021-06-14
002 2018-01-01 ARLEEN TRAN 2019-06-06
002 2017-01-01 ARLEEN TRAN 2018-07-16
002 2016-01-01 ARLEEN TRAN 2017-04-27 VISION FINANCIAL MARKETS LLC 2017-04-27
002 2015-01-01 ARLEEN TRAN
002 2014-01-01 HOWARD ROTHMAN
002 2013-01-01 HOWARD ROTHMAN
002 2012-01-01 HOWARD ROTHMAN
002 2011-01-01 HOWARD ROTHMAN 2012-07-20
002 2010-01-01 HOWARD ROTHMAN 2011-05-03

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
002	2022-01-01	SHIRLEY HORNER	2023-06-27
002	2021-01-01	SHIRLEY HORNER	2022-07-14
002	2021-01-01	SHIRLEY HORNER	2022-09-21
002	2020-01-01	ARLEEN TRAN	2021-06-14
002	2018-01-01	ARLEEN TRAN	2019-06-06
002	2017-01-01	ARLEEN TRAN	2018-07-16
002	2016-01-01	ARLEEN TRAN	2017-04-27	VISION FINANCIAL MARKETS LLC	2017-04-27
002	2015-01-01	ARLEEN TRAN
002	2014-01-01	HOWARD ROTHMAN
002	2013-01-01	HOWARD ROTHMAN
002	2012-01-01	HOWARD ROTHMAN
002	2011-01-01	HOWARD ROTHMAN	2012-07-20
002	2010-01-01	HOWARD ROTHMAN	2011-05-03

Plan Statistics for VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN

401k plan membership statisitcs for VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN

Measure Date Value
2015: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2015 401k membership
Total participants, beginning-of-year 2015-01-01 111
Total number of active participants reported on line 7a of the Form 5500 2015-01-01 60
Number of retired or separated participants receiving benefits 2015-01-01 0
Number of other retired or separated participants entitled to future benefits 2015-01-01 32
Total of all active and inactive participants 2015-01-01 92
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-01-01 0
Total participants 2015-01-01 92
Number of participants with account balances 2015-01-01 74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-01-01 4
2014: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 129
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 83
Number of retired or separated participants receiving benefits 2014-01-01 3
Number of other retired or separated participants entitled to future benefits 2014-01-01 24
Total of all active and inactive participants 2014-01-01 110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 1
Total participants 2014-01-01 111
Number of participants with account balances 2014-01-01 85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 6
2013: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 151
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 113
Number of retired or separated participants receiving benefits 2013-01-01 1
Number of other retired or separated participants entitled to future benefits 2013-01-01 13
Total of all active and inactive participants 2013-01-01 127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 1
Total participants 2013-01-01 128
Number of participants with account balances 2013-01-01 88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 3
2012: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 132
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 133
Number of retired or separated participants receiving benefits 2012-01-01 1
Number of other retired or separated participants entitled to future benefits 2012-01-01 10
Total of all active and inactive participants 2012-01-01 144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 144
Number of participants with account balances 2012-01-01 82
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 8

Measure	Date	Value
2015: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2015 401k membership
Total participants, beginning-of-year	2015-01-01	111
Total number of active participants reported on line 7a of the Form 5500	2015-01-01	60
Number of retired or separated participants receiving benefits	2015-01-01	0
Number of other retired or separated participants entitled to future benefits	2015-01-01	32
Total of all active and inactive participants	2015-01-01	92
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-01-01	0
Total participants	2015-01-01	92
Number of participants with account balances	2015-01-01	74
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-01-01	4
2014: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	129
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	83
Number of retired or separated participants receiving benefits	2014-01-01	3
Number of other retired or separated participants entitled to future benefits	2014-01-01	24
Total of all active and inactive participants	2014-01-01	110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	1
Total participants	2014-01-01	111
Number of participants with account balances	2014-01-01	85
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	6
2013: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	151
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	113
Number of retired or separated participants receiving benefits	2013-01-01	1
Number of other retired or separated participants entitled to future benefits	2013-01-01	13
Total of all active and inactive participants	2013-01-01	127
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	1
Total participants	2013-01-01	128
Number of participants with account balances	2013-01-01	88
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	3
2012: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	132
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	133
Number of retired or separated participants receiving benefits	2012-01-01	1
Number of other retired or separated participants entitled to future benefits	2012-01-01	10
Total of all active and inactive participants	2012-01-01	144
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	144
Number of participants with account balances	2012-01-01	82
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	8

Financial Data on VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN

Measure	Date	Value
2015 : VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2015 401k financial data
Total unrealized appreciation/depreciation of assets	2015-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$625,304
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$2,119,687
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$2,119,687
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$562,370
Value of total assets at end of year	2015-12-31	$9,116,053
Value of total assets at beginning of year	2015-12-31	$10,610,436
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$0
Total interest from all sources	2015-12-31	$2,966
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$198,543
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$198,543
Assets. Corporate prefeered stocks other than exployer securities at end of year	2015-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2015-12-31	$350,639
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$500,000
If this is an individual account plan, was there a blackout period	2015-12-31	Yes
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Funding deficiency by the employer to the plan for this plan year	2015-12-31	$0
Minimum employer required contribution for this plan year	2015-12-31	$-7,312
Amount contributed by the employer to the plan for this plan year	2015-12-31	$-7,312
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Contributions received from participants	2015-12-31	$445,406
Participant contributions at end of year	2015-12-31	$49,153
Participant contributions at beginning of year	2015-12-31	$107,021
Participant contributions at beginning of year	2015-12-31	$6,329
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$-1,494,383
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$9,116,053
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$10,610,436
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$8,086,262
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$7,607,238
Interest on participant loans	2015-12-31	$2,966
Income. Interest from loans (other than to participants)	2015-12-31	$0
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2015-12-31	$212,548
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2015-12-31	$547,301
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2015-12-31	$547,301
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-138,575
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Contributions received in cash from employer	2015-12-31	$116,964
Employer contributions (assets) at end of year	2015-12-31	$10,639
Employer contributions (assets) at beginning of year	2015-12-31	$17,951
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$2,119,687
Asset. Corporate debt instrument preferred debt at end of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at end of year	2015-12-31	$0
Asset. Corporate debt instrument debt (other) at beginning of year	2015-12-31	$380,076
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2015-12-31	Yes
Assets. Corporate common stocks other than exployer securities at end of year	2015-12-31	$757,451
Assets. Corporate common stocks other than exployer securities at beginning of year	2015-12-31	$1,593,881
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2015-12-31	No
Opinion of an independent qualified public accountant for this plan	2015-12-31	Unqualified
Accountancy firm name	2015-12-31	OSTROW REISIN BERK & ABRAMS, LTD.
Accountancy firm EIN	2015-12-31	362938874
2014 : VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2014 401k financial data
Unrealized appreciation/depreciation of real estate assets	2014-12-31	$174,413
Total unrealized appreciation/depreciation of assets	2014-12-31	$174,413
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2014-12-31	$95,850
Total income from all sources (including contributions)	2014-12-31	$1,421,412
Total loss/gain on sale of assets	2014-12-31	$3,310
Total of all expenses incurred	2014-12-31	$764,447
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2014-12-31	$764,447
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2014-12-31	$639,562
Value of total assets at end of year	2014-12-31	$10,610,436
Value of total assets at beginning of year	2014-12-31	$10,049,321
Total of administrative expenses incurred including professional, contract, advisory and management fees	2014-12-31	$0
Total interest from all sources	2014-12-31	$43,574
Total dividends received (eg from common stock, registered investment company shares)	2014-12-31	$298,724
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2014-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2014-12-31	$259,663
Assets. Corporate prefeered stocks other than exployer securities at end of year	2014-12-31	$350,639
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2014-12-31	$364,960
Was this plan covered by a fidelity bond	2014-12-31	Yes
Value of fidelity bond cover	2014-12-31	$500,000
If this is an individual account plan, was there a blackout period	2014-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2014-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2014-12-31	No
Contributions received from participants	2014-12-31	$516,359
Participant contributions at end of year	2014-12-31	$107,021
Participant contributions at beginning of year	2014-12-31	$140,796
Participant contributions at end of year	2014-12-31	$6,329
Participant contributions at beginning of year	2014-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2014-12-31	$16,935
Value of other receiveables (less allowance for doubtful accounts) at end of year	2014-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2014-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2014-12-31	$95,850
Total non interest bearing cash at end of year	2014-12-31	$0
Total non interest bearing cash at beginning of year	2014-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Value of net income/loss	2014-12-31	$656,965
Value of net assets at end of year (total assets less liabilities)	2014-12-31	$10,610,436
Value of net assets at beginning of year (total assets less liabilities)	2014-12-31	$9,953,471
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2014-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2014-12-31	No
Were any leases to which the plan was party in default or uncollectible	2014-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2014-12-31	$7,607,238
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2014-12-31	$7,133,378
Interest on participant loans	2014-12-31	$5,450
Income. Interest from corporate debt instruments	2014-12-31	$37,697
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2014-12-31	$547,301
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2014-12-31	$790,996
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2014-12-31	$790,996
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2014-12-31	$427
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2014-12-31	$261,829
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2014-12-31	No
Was there a failure to transmit to the plan any participant contributions	2014-12-31	No
Has the plan failed to provide any benefit when due under the plan	2014-12-31	No
Contributions received in cash from employer	2014-12-31	$106,268
Employer contributions (assets) at end of year	2014-12-31	$17,951
Employer contributions (assets) at beginning of year	2014-12-31	$343
Income. Dividends from preferred stock	2014-12-31	$9,337
Income. Dividends from common stock	2014-12-31	$29,724
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2014-12-31	$764,447
Asset. Corporate debt instrument debt (other) at end of year	2014-12-31	$380,076
Asset. Corporate debt instrument debt (other) at beginning of year	2014-12-31	$365,244
Assets. Corporate common stocks other than exployer securities at end of year	2014-12-31	$1,593,881
Assets. Corporate common stocks other than exployer securities at beginning of year	2014-12-31	$1,253,604
Did the plan have assets held for investment	2014-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2014-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2014-12-31	No
Aggregate proceeds on sale of assets	2014-12-31	$161,963
Aggregate carrying amount (costs) on sale of assets	2014-12-31	$158,653
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2014-12-31	No
Opinion of an independent qualified public accountant for this plan	2014-12-31	Unqualified
Accountancy firm name	2014-12-31	OSTROW REISIN BERK & ABRAMS, LTD.
Accountancy firm EIN	2014-12-31	362938874
2013 : VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2013 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2013-12-31	$182,800
Total unrealized appreciation/depreciation of assets	2013-12-31	$182,800
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$95,850
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2013-12-31	$0
Total income from all sources (including contributions)	2013-12-31	$2,004,101
Total loss/gain on sale of assets	2013-12-31	$49,820
Total of all expenses incurred	2013-12-31	$283,480
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2013-12-31	$187,530
Value of total corrective distributions	2013-12-31	$95,850
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2013-12-31	$706,847
Value of total assets at end of year	2013-12-31	$10,049,321
Value of total assets at beginning of year	2013-12-31	$8,232,850
Total of administrative expenses incurred including professional, contract, advisory and management fees	2013-12-31	$100
Total interest from all sources	2013-12-31	$41,370
Total dividends received (eg from common stock, registered investment company shares)	2013-12-31	$224,553
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2013-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2013-12-31	$180,044
Assets. Corporate prefeered stocks other than exployer securities at end of year	2013-12-31	$364,960
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2013-12-31	$559,883
Was this plan covered by a fidelity bond	2013-12-31	Yes
Value of fidelity bond cover	2013-12-31	$500,000
If this is an individual account plan, was there a blackout period	2013-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2013-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2013-12-31	No
Contributions received from participants	2013-12-31	$544,194
Participant contributions at end of year	2013-12-31	$140,796
Participant contributions at beginning of year	2013-12-31	$89,008
Participant contributions at end of year	2013-12-31	$0
Participant contributions at beginning of year	2013-12-31	$9,406
Income. Received or receivable in cash from other sources (including rollovers)	2013-12-31	$1,693
Value of other receiveables (less allowance for doubtful accounts) at end of year	2013-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2013-12-31	$2,339
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2013-12-31	$95,850
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2013-12-31	$0
Administrative expenses (other) incurred	2013-12-31	$100
Total non interest bearing cash at end of year	2013-12-31	$0
Total non interest bearing cash at beginning of year	2013-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Value of net income/loss	2013-12-31	$1,720,621
Value of net assets at end of year (total assets less liabilities)	2013-12-31	$9,953,471
Value of net assets at beginning of year (total assets less liabilities)	2013-12-31	$8,232,850
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2013-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2013-12-31	No
Were any leases to which the plan was party in default or uncollectible	2013-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2013-12-31	$7,133,378
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2013-12-31	$5,723,315
Interest on participant loans	2013-12-31	$5,343
Income. Interest from corporate debt instruments	2013-12-31	$35,567
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2013-12-31	$790,996
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2013-12-31	$195,562
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2013-12-31	$195,562
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2013-12-31	$460
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2013-12-31	$798,711
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2013-12-31	No
Was there a failure to transmit to the plan any participant contributions	2013-12-31	No
Has the plan failed to provide any benefit when due under the plan	2013-12-31	No
Contributions received in cash from employer	2013-12-31	$160,960
Employer contributions (assets) at end of year	2013-12-31	$343
Employer contributions (assets) at beginning of year	2013-12-31	$16,057
Income. Dividends from preferred stock	2013-12-31	$18,529
Income. Dividends from common stock	2013-12-31	$25,980
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2013-12-31	$187,530
Asset. Corporate debt instrument debt (other) at end of year	2013-12-31	$365,244
Asset. Corporate debt instrument debt (other) at beginning of year	2013-12-31	$412,963
Assets. Corporate common stocks other than exployer securities at end of year	2013-12-31	$1,253,604
Assets. Corporate common stocks other than exployer securities at beginning of year	2013-12-31	$1,224,317
Did the plan have assets held for investment	2013-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2013-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2013-12-31	No
Aggregate proceeds on sale of assets	2013-12-31	$516,601
Aggregate carrying amount (costs) on sale of assets	2013-12-31	$466,781
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2013-12-31	No
Opinion of an independent qualified public accountant for this plan	2013-12-31	Unqualified
Accountancy firm name	2013-12-31	OSTROW REISIN BERK & ABRAMS, LTD.
Accountancy firm EIN	2013-12-31	362938874
2012 : VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2012 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2012-12-31	$78,159
Total unrealized appreciation/depreciation of assets	2012-12-31	$78,159
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$4,789
Expenses. Interest paid	2012-12-31	$1,786
Amount of participant contributions which was failed to transmit to the plan within the time period described in 29 CFR 251.3-102	2012-12-31	$1,786
Total income from all sources (including contributions)	2012-12-31	$1,432,978
Total loss/gain on sale of assets	2012-12-31	$67,437
Total of all expenses incurred	2012-12-31	$246,964
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$244,928
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$767,522
Value of total assets at end of year	2012-12-31	$8,232,850
Value of total assets at beginning of year	2012-12-31	$7,051,625
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$250
Total interest from all sources	2012-12-31	$33,215
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$150,596
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2012-12-31	$98,674
Assets. Corporate prefeered stocks other than exployer securities at end of year	2012-12-31	$559,883
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2012-12-31	$544,096
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$500,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$534,018
Participant contributions at end of year	2012-12-31	$89,008
Participant contributions at beginning of year	2012-12-31	$108,402
Participant contributions at end of year	2012-12-31	$9,406
Participant contributions at beginning of year	2012-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$77,198
Value of other receiveables (less allowance for doubtful accounts) at end of year	2012-12-31	$2,339
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2012-12-31	$0
Administrative expenses (other) incurred	2012-12-31	$250
Liabilities. Value of operating payables at end of year	2012-12-31	$0
Liabilities. Value of operating payables at beginning of year	2012-12-31	$4,789
Total non interest bearing cash at end of year	2012-12-31	$0
Total non interest bearing cash at beginning of year	2012-12-31	$3,227
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$1,186,014
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$8,232,850
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$7,046,836
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Value of interest in registered invesment companies (eg mutual funds) at end of year	2012-12-31	$5,723,315
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2012-12-31	$4,929,049
Interest on participant loans	2012-12-31	$4,656
Income. Interest from corporate debt instruments	2012-12-31	$28,343
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2012-12-31	$195,562
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2012-12-31	$81,892
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2012-12-31	$81,892
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2012-12-31	$216
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2012-12-31	$336,049
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$156,306
Employer contributions (assets) at end of year	2012-12-31	$16,057
Employer contributions (assets) at beginning of year	2012-12-31	$0
Income. Dividends from preferred stock	2012-12-31	$30,503
Income. Dividends from common stock	2012-12-31	$21,419
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$244,928
Asset. Corporate debt instrument debt (other) at end of year	2012-12-31	$412,963
Asset. Corporate debt instrument debt (other) at beginning of year	2012-12-31	$369,247
Assets. Corporate common stocks other than exployer securities at end of year	2012-12-31	$1,224,317
Assets. Corporate common stocks other than exployer securities at beginning of year	2012-12-31	$1,015,712
Did the plan have assets held for investment	2012-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	No
Aggregate proceeds on sale of assets	2012-12-31	$605,590
Aggregate carrying amount (costs) on sale of assets	2012-12-31	$538,153
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	OSTROW REISIN BERK & ABRAMS, LTD.
Accountancy firm EIN	2012-12-31	362938874

Form 5500 Responses for VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN

2015: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2015 form 5500 responses
2015-01-01	Type of plan entity	Single employer plan
2015-01-01	Submission has been amended	No
2015-01-01	This submission is the final filing	No
2015-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2015-01-01	Plan is a collectively bargained plan	No
2015-01-01	Plan funding arrangement – Trust	Yes
2015-01-01	Plan benefit arrangement - Trust	Yes
2014: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	Submission has been amended	No
2014-01-01	This submission is the final filing	No
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2014-01-01	Plan is a collectively bargained plan	No
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2012: VISION FINANCIAL MARKETS LLC EMPLOYEES' PROFIT SHARING AND SAVING PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	No
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes

Potentially related plans

Was this data useful?

If you found the data here useful, PLEASE HELP US. We are a start-up and believe in making information freely available. By linking to us, posting on twitter, facebook and linkedin about us and generally spreading the word, you'll help us to grow. Our vision is to provide high quality data about the activities of all the companies in the world and where possible make it free to use and view. Finding and integrating data from thousands of data sources is time consuming and needs lots of effort. By simply spreading the word about us, you will help us. Please use the share buttons. It will only take a few seconds of your time. Thanks for helping

Information Disclaimer

The information provided on this website is not advice, endorsement or recommendation
The information published is supplied by third parties so we make no warranty on the accuracy, completeness etc. This information is provided "as-is". The information is subject to change as we obtain updates and corrections from the primary information sources.
You are free to use the information for your own personal research on the understanding to do so is at your own risk.

See full terms and conditions

Company Name:	VISION FINANCIAL MARKETS LLC
Employer identification number (EIN):	205025868
NAIC Classification:	523210
NAIC Description:	Securities and Commodity Exchanges

Jurisdiction of Incorporation:	State of Delaware Division of Corporations
Incorporation Date:
Company Identification Number:	4158936