Full text of NTB FINANCIAL CORPORATION's X-17A-5 filed 2021-09-13 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### REPORT PURSUANT TO RULE 17a-5(d) YEAR ENDED JUNE 30, 2021 The report is deemed CONFIDENTIAL in accordance with Rule 17a-5(e)(3) under the Securities Exchange Act of 1934. A statement of financial condition has been filed with the Securities and Exchange Commission simultaneously herewith as a PUBLIC DOCUMENT. {1}------------------------------------------------ | REPORT FOR THE PERIOD BEGINNING 07/01/2020 | | AND ENDING 06/30/2021 | | | |-----------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------|-----------------------|--------------------------------|--| | | MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF BROKER-DEALER: NTB Financial Corporation<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | OFFICIAL USE ONLY | | | | | | FIRM I.D. NO. | | | 9540 S Maroon Circle, Suite 250 | | | | | | | (No and Street) | | | | | Centennial | CO | | 80112 | | | (City) | (State) | | (Zip Code) | | | Brad Dowell | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT | | | | | | | | 303-825-1825 | | | | B. ACCOUNTANT IDENTIFICATION | | (Area Code - Telephone Number) | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | Spicer Jeffries | | | | | | | (Name - if individual, state last, first, middle name) | | | | | | 4601 DTC Boulevard, Suite 700 Denver | CO | 80237 | | | (Address) | (City) | (State) | (Zip Code) | | | CHECK ONE: | | | | | | Certified Public Accountant | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | {2}------------------------------------------------ | Anthony Petrelli | swear (or affirm) that, swear (or affirm) that, to the best of | |------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------| | NTB Financial Corporation | my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of | | of June 30 | and correct. I further sweare true and correct. I further swear (or affirm) that | | | neither the company nor…Read the full text as markdown