Compliance and Legal Notices


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Customer CIP Notice


Business Continuity Plan


Link to FINRA website


Link to SIPC website




CRS ADV Part 2


MSRB G-10 Disclosures: Investor and Municipal Advisory Client Education and Protection 

NTB Financial Corporation is registered with the Municipal Securities Rulemaking Board (MSRB) and the U.S. Securities and Exchange Commission as a broker-dealer. The MSRB website address is An investor brochure and a municipal advisory client brochure that describes the protections available under the MSRB rules and how to file a complaint with an appropriate regulatory authority may be obtained on the MSRB website.