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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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DB

Daniel K. Backman

ICAPITAL MARKETS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 4748982
DB

Professional summary

Daniel Kristopher Backman, who also goes by Daniel Kristopher Bachman, is a registered financial professional currently at ICAPITAL MARKETS LLC located in Greenwich, Connecticut.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2004. Daniel has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Kristopher Bachman

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 Daniel Kristopher Backman'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

April 9, 2026 - Present

ICAPITAL MARKETS LLC

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

August 20, 2025 - October 21, 2025

EQUITY SERVICES, INC.

BD
CRD#: 265
GLASTONBURY, CT
Past

October 21, 2015 - November 4, 2020

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

October 21, 2015 - February 5, 2025

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
Shelton, CT
Past

May 5, 2015 - October 15, 2015

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
NEW HAVEN, CT
Past

April 7, 2015 - October 14, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW HAVEN, CT
Past

January 12, 2015 - April 2, 2015

EQUITY SERVICES, INC.

RIA
CRD#: 265
GLASTONBURY, CT
Past

August 13, 2013 - April 2, 2015

EQUITY SERVICES, INC.

BD
CRD#: 265
GLASTONBURY, CT
Past

October 18, 2011 - August 14, 2013

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

May 16, 2008 - September 29, 2011

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
NEW YORK, NY
Past

January 27, 2004 - March 12, 2008

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT

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
Connecticut
(4/9/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/22/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/12/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/26/2004
Investment Company Products/Variable Contracts Representative 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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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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