Details

INVESTCORE PARTNERS NFA ID: 0326814 Current Status • NOTICE BROKER DEALER REGISTERED  • INTRODUCING BROKER REGISTERED  • NFA MEMBER APPROVED  IB Guarantor Information • IB GUARANTEED BY VISION FINANCIAL MARKETS LLC Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 4 details... Formerly Known As • OPTION INVESTMENTS INC • SUMMIT FINANCIAL SERVICES   Business Address 130 VANTIS DRIVE SUITE 270 ALISO VIEJO, CA  92656 UNITED STATES 949-812-4000 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest SCOTT ALLEN ALTENBURG CHIEF EXECUTIVE OFFICER YES AMBER SKY CIRINCIONE NO LISTED TITLE NO JAMES JOHN MOORE NO LISTED TITLE NO History  Status Effective Date • COMMODITY TRADING ADVISOR WITHDRAWN 05/27/2012  • NOTICE BROKER DEALER REGISTERED 05/17/2006  • COMMODITY TRADING ADVISOR REGISTERED 12/08/2005  • COMMODITY TRADING ADVISOR PENDING 12/08/2005  • INTRODUCING BROKER REGISTERED 04/29/2003  • NFA MEMBER APPROVED 04/17/2003  • INTRODUCING BROKER TEMPORARY LICENSE 04/17/2003  • NFA MEMBER PENDING 01/24/2003  • INTRODUCING BROKER PENDING 01/24/2003