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2021069322101 Vision Financial Markets LLC CRD 142271 AWC lp (2025-1763943596344).pdf

At certain times between April 2020 and November 2022, Vision failed to accurately calculate its required customer reserve and its required reserve for proprietary accounts of broker-dealers (PABs). The firm's inaccurate calculations on these occasions caused its reserve accounts to be underfunded, resulting in hindsight deficiencies. This also caused the firm co maintain inaccurate books and records and to file inaccurate Financial and Operational Combined Uniform Single (FOCUS) reports.

Sarah Green

Sarah Green is Vice President and Chief of Staff, Board and External Relations (BER). In this role, Ms. Green supports BER’s leadership team to maximize the impact of FINRA’s stakeholder engagement, education and outreach efforts, as well as translate organizational strategy into operational effectiveness. Ms. Green also oversees the development and implementation of special projects, including FINRA’s targeted initiative to reach and engage novice, self-directed investors, and serves as a liaison to FINRA’s Self-Directed Firm Working Group.

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