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Investment Adviser Firm Summary

H. BECK, INC. (CRD# 1763 / SEC# 8-31165, 801-56879)
Alternate Names: CAPITAL FINANCIAL SECURITIES CORPORATION , ESTATE INVESTMENT COMPANY , H. BECK, INC. , HIBBARD-BECK, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 10/06/1999
Alabama Terminated 12/16/2002
Connecticut Terminated 12/02/2002
District of Columbia Terminated 12/02/2002
Georgia Terminated 12/02/2002
Indiana Terminated 03/05/2003
New Jersey Terminated 12/02/2002
North Carolina Terminated 12/02/2002
Ohio Terminated 12/02/2002
South Carolina Terminated 12/02/2002
Texas Terminated 06/28/1984
West Virginia Terminated 12/06/2002

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/24/2010
Alaska 03/31/2017
Arizona 01/10/2007
Arkansas 03/31/2017
California 07/08/1997
Colorado 01/22/2002
Connecticut 01/22/2002
Delaware 01/06/2005
District of Columbia 05/11/1995
Florida 08/16/1993
Georgia 05/25/1995
Hawaii 01/03/2007
Idaho 09/27/2007
Illinois 01/06/2003
Indiana 08/28/2008
Iowa 01/20/2004
Kansas 03/31/2017
Kentucky 06/18/2007
Louisiana 08/28/2008
Maine 07/21/2009
Maryland 11/29/1993
Massachusetts 03/11/2004
Michigan 08/10/2006
Minnesota 05/26/2004
Mississippi 03/31/2017
Missouri 08/02/2006
Montana 08/04/2008
Nebraska 02/15/2006
Nevada 06/15/2009
New Hampshire 01/22/2009
New Jersey 06/10/1993
New Mexico 01/09/2009
New York 11/18/2002
North Carolina 12/20/2000
North Dakota 03/31/2017
Ohio 05/18/1999
Oklahoma 02/12/2007
Oregon 09/07/2006
Pennsylvania 11/18/2002
Rhode Island 07/07/2009
South Carolina 06/15/1995
South Dakota 03/01/2011
Tennessee 02/13/1998
Texas 06/28/1984
Utah 03/12/2009
Vermont 04/03/2007
Virginia 11/15/1982
Washington 01/20/2006
West Virginia 02/09/1998
Wisconsin 09/22/2009
Wyoming 04/01/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser