John Karafa is Aml Compliance Officer and Chief Compliance Officer of Vision Investment Advisors, is not listed as a control person, but directly owns under 5% of the firm.
Vision Investment Advisors, LLC is a Stamford, CT firm with $137M under management, 129 clients and 4 advisers across 5 offices, as of its May 2026 filing.
John Karafa’s longest registration is the current one, 12 years at Vision Investment Advisors since 2013. Before joining Vision Investment Advisors in 2013, John Karafa was registered through Source Capital Group, Inc.
- – present · 12 yearsStamford, CT · Adviser representative · Firm CRD 109621
- Source Capital Group, Inc.– · 2 yearsWestport, CT · Adviser representative · Firm CRD 36719
Investment adviser representative registrations
John Karafa is registered as an investment adviser representative in Connecticut, since November 2013.
- ConnecticutSince 13 November 2013
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 5 September 2018 |
| Series 53 | Municipal Securities Principal Examination | 7 June 2016 |
| Series 66 | Uniform Combined State Law Examination | 16 March 2011 |
| Series 4 | Registered Options Principal Examination | 23 May 2003 |
| Series 24 | General Securities Principal Examination | 3 December 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 December 2001 |
| Series 55 | Limited Representative-Equity Trader Exam | 3 May 2000 |
| Series 7 | General Securities Representative Examination | 9 September 1999 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Trader Exam
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Representative Examination
- Full name
- John Michael Karafa
- CRD
- 2927594
- Firm
- Vision Investment Advisors · CRD 109621
- Role
- Aml Compliance Officer; Chief Compliance Officer
- Office
- 1010 WASHINGTON BLVD, SUITE 300, Stamford, CT 06901
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does John Karafa work?
John Karafa is Aml Compliance Officer; Chief Compliance Officer of Vision Investment Advisors, LLC.
Is John Karafa a financial advisor?
Yes. John Karafa has a current investment-adviser registration in Connecticut, through Vision Investment Advisors since November 2013.
How many years of experience does John Karafa have?
John Karafa has 27 years in the financial industry, since September 1999, across 2 adviser firms.
What exams has John Karafa passed?
John Karafa has passed 12 licensing exams: the Series 7, Series 55, Series 63, Series 24, Series 4, Series 66, Series 53, Series 3, Series 14, Series 99TO, Series 57TO and Series 52TO. The earliest, the Series 7, was passed in September 1999. FINRA credited John Karafa with the SIE, which began in October 2018.
Where did John Karafa work before Vision Investment Advisors?
Before Vision Investment Advisors, John Karafa was registered through Source Capital Group, Inc., March 2011 to November 2013.
Where is John Karafa based?
John Karafa’s registered office is in Stamford, CT.
Is John Karafa registered with FINRA?
Yes. John Karafa has a current broker registration, under CRD 2927594.
Source: FINRA BrokerCheck
How can I verify John Karafa’s record?
Search CRD 2927594 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish John Karafa’s full registration record.