Investors: Information for Our Financial Professionals' Clients


You invest to ensure possibilities, choices, and freedom in your family's future. We congratulate you on that foresight. Welcome to H. Beck, Inc. (HBI), one of the nation's leading independent broker-dealers.*

Perhaps you’ve seen our name on the documents your Financial Professional shares with you, and you want to learn more about our role. Or perhaps you are considering establishing a relationship with a Financial Professional. In either case, this section of our website is for you.


We also provide 
access to your accounts and our key policies, disclosures, and other important links.

Our Role

More than 700 Financial Professionals around the country have chosen HBI to provide them with the services, technology, investment products, and regulatory compliance oversight that enable them to provide sound advice and investment services and products that are in the best interests of you, the investor. Learn more about the benefits of independence.

Clearing and custodial services are provided by Pershing LLC, a subsidiary of BNY Mellon, the oldest bank in the United States.


We are proud to have been named Investment Advisor magazine's Broker-Dealer of the Year (Division III) twice in the past decade. This recognition, resulting from surveys of our Financial Professionals, speaks volumes about how they view our role in achieving success for their clients.

Ownership and Registration

HBI is governed by the Securities and Exchange Commission (SEC), and is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).


* As recognized by several of the industry trade magazines (Financial Planning, InvestmentNews, Financial Advisor) that annually rank firms in the industry by revenue.



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