Compliance and Legal Notices

 

Privacy Policy

 

Customer CIP Notice

 

Business Continuity Plan

 

Link to FINRA website

 

Link to SIPC website

 

SEC Rule 606 ROUTING REPORT

 

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 www.msrb.org. 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.