Daniel Kristopher Backman
Professional Summary
Daniel Kristopher Backman, who also goes by Daniel Kristopher Bachman, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel Kristopher Bachman
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Years of Experience
22 years in the financial services industry
Current & Past Employments
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
Current Firm
AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC
Contact Information
Main Address
60 East 42nd Street 26th Floor, New York, NY 10165Mailing Address
60 East 42nd Street 26th Floor, New York, NY 10165Phone Number
(646) 520-2020Established
Delaware since 08/13/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
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.
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
State Registrations and Notice Filings
(4/9/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2004About the Series 6 examSRO Registrations
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Daniel Kristopher Backman's CRS (Customer Relationship Summary).
Similar Advisors
UBS FINANCIAL SERVICES INC.
RGA INVESTMENT ADVISORS, LLC
LPL ENTERPRISE, LLC
AE WEALTH MANAGEMENT, LLC
