H. Beck, Inc.

Regulation Best Interest

• Form CRS
• Reg BI Disclosure

Additional Policies, Disclosure, and Important Links

• Texting Program Terms and Conditions
• Privacy Policy
• Anti-money Laundering Requirements
• 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. Financial Professional and must place a securities transaction, please call 800.333.6884 and ask for our trading desk. 



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