Policies, Disclosures, and Important Links

• Privacy Policy
• Anti-money Laundering Requirements
• Product Compensation Disclosure
• Business Continuity Plan

FINRA Information

Investor information may be obtained at the FINRA website (www.finra.org) or by contacting FINRA at 301.590.6500.

• FINRA BrokerCheck - A free tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and brokers (or call the FINRA BrokerCheck Hotline at 800.289.9999)
• FINRA Investor Alerts

SIPC Information

Investor information about the Securities Investor Protection Corporation (SIPC) may be obtained at their website (www.sipc.org) or by contacting SIPC at 202.371.8300 to request an SIPC brochure.

Pershing 

• Routing of Customer Orders
• Pershing Service Fees [PDF]
• Pershing Business Continuity Plan

Direct Business

• Our Business Continuity Plan

Securities Transaction Assistance

If you are unable to contact your H. Beck, Inc. advisor and must place a securities transaction, please call our trading desk at 800.688.7574.

 

H. Beck, Inc. Registered Investment Advisor Form ADV, Part 2A.