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JH

Joshua B. Heiskell

ICAPITAL MARKETS LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4074089
JH

Professional summary

Joshua Baker Heiskell, who also goes by Joshua B. Heiskell, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2000. Joshua has worked at 5 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 31 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joshua B. Heiskell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua Baker Heiskell's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 26, 2025 - Present

ICAPITAL MARKETS LLC

Office #1: 2 Greenwich Plaza 4th Floor, Greenwich, CT 06830
BD
CRD#: 118219
Greenwich, CT
Past

January 5, 2024 - March 20, 2025

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

February 10, 2006 - April 20, 2011

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

July 16, 2002 - June 4, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
CHARLOTTE, NC
Past

May 3, 2002 - June 4, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

February 10, 2000 - June 10, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/26/2025)
RR
Alaska
(3/26/2025)
RR
Arizona
(3/26/2025)
RR
Arkansas
(3/26/2025)
RR
California
(3/26/2025)
RR
Colorado
(3/26/2025)
RR
Connecticut
(3/26/2025)
RR
Delaware
(3/26/2025)
RR
District of Columbia
(3/26/2025)
RR
Florida
(3/26/2025)
RR
Georgia
(3/26/2025)
RR
Hawaii
(3/26/2025)
RR
Idaho
(3/26/2025)
RR
Illinois
(3/26/2025)
RR
Indiana
(3/26/2025)
RR
Iowa
(3/26/2025)
RR
Kansas
(3/26/2025)
RR
Kentucky
(3/26/2025)
RR
Louisiana
(3/26/2025)
RR
Maine
(3/26/2025)
RR
Maryland
(3/26/2025)
RR
Massachusetts
(3/26/2025)
RR
Michigan
(3/26/2025)
RR
Minnesota
(3/26/2025)
RR
Mississippi
(3/26/2025)
RR
Missouri
(3/26/2025)
RR
Montana
(3/26/2025)
RR
Nebraska
(3/26/2025)
RR
Nevada
(3/26/2025)
RR
New Hampshire
(3/26/2025)
RR
New Jersey
(3/26/2025)
RR
New Mexico
(3/26/2025)
RR
New York
(3/26/2025)
RR
North Carolina
(3/26/2025)
RR
North Dakota
(3/26/2025)
RR
Ohio
(3/27/2025)
RR
Oklahoma
(3/26/2025)
RR
Oregon
(3/26/2025)
RR
Pennsylvania
(3/26/2025)
RR
Rhode Island
(3/26/2025)
RR
South Carolina
(3/26/2025)
RR
South Dakota
(3/26/2025)
RR
Tennessee
(3/26/2025)
RR
Texas
(3/26/2025)
RR
Utah
(3/26/2025)
RR
Vermont
(3/26/2025)
RR
Virginia
(3/26/2025)
RR
Washington
(3/26/2025)
RR
West Virginia
(3/26/2025)
RR
Wisconsin
(3/26/2025)
RR
Wyoming
(3/26/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/15/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/5/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/14/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 6/4/2002
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

IM
ICAPITAL MARKETS LLC
AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC

CRD#: 118219 / SEC#: , 8-53640

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
60 East 42nd Street 26th Floor, New York, NY 10165
Mailing Address
60 East 42nd Street 26th Floor, New York, NY 10165
Phone number
(646) 520-2020
Established
Delaware since 08/13/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICAPITAL MARKETS HOLDING LLCPARENT
GEORGE, THOMAS KEITHFINOP5378303
HOUSTON, STEPHEN HENRYHEAD OF BROKER DEALER1988668
MORGAN, COURTNEYCHIEF COMPLIANCE OFFICER6384535

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ICAPITAL MARKETS LLC

CRD#: 118219Greenwich, CT 06830

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