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Investment Adviser Firm Summary

NTB FINANCIAL CORPORATION (CRD# 7425 / SEC# 8-21884, 801-65853)
Alternate Names: AVALON RETIREMENT SPECIALISTS, INC. , COLBY & WHITE , EAST FORSYTH INVESTMENTS , NEIDIGER, TUCKER, BRUNER, INC. , NTB ADVISERS, A DIVISION OF NEIDIGER, TUCKER, BRUNER INC , NTB ADVISERS, A DIVISION OF NTB FINANCIAL CORPORATION , NTB ADVISORS, A DIVISION OF NTB FINANCIAL CORPORATION , NTB FINANCIAL CORPORATION

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 01/30/2006
California Terminated 02/09/2006
Colorado Terminated 03/06/2006
Kansas Terminated 02/07/2006
Oklahoma Terminated 01/30/2006

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
Arizona 09/17/2014
California 10/22/2001
Colorado 01/30/2006
District of Columbia 10/14/2014
Florida 10/14/2014
Georgia 09/17/2014
Idaho 10/14/2014
Illinois 02/27/2008
Indiana 09/30/2015
Kansas 01/30/2006
Kentucky 09/30/2015
Louisiana 09/30/2015
Maryland 10/14/2014
Massachusetts 10/14/2014
Michigan 10/14/2014
Minnesota 10/14/2014
Mississippi 10/14/2014
Missouri 10/14/2014
Nebraska 10/14/2014
Nevada 04/23/2018
New Mexico 10/14/2014
New York 10/14/2014
North Carolina 02/01/2012
Ohio 10/14/2014
Oregon 10/14/2014
Pennsylvania 09/17/2014
Tennessee 10/14/2014
Texas 10/14/2014
Utah 10/14/2014
Vermont 10/14/2014
Virginia 09/17/2014
Washington 10/14/2014
Wyoming 04/23/2018

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