Full text of THE COURTNEY GROUP, LLC's X-17A-5 filed 2023-02-28 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # THE COURTNEY GROUP, LLC (SEC ID No. 8-53453) # ANNUAL AUDIT REPORT # DECEMBER 31, 2022 # PUBLIC DOCUMENT Filed Pursuant to Rule 17-A-5(e)(3) as a Public Document {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART Ill** | | SEC FILE NUMBER | |--|-----------------| **8-53453** **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and lSa-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **\_\_\_ 0\_1\_/0\_1\_/2\_2 \_\_\_ AND** ENDING **\_\_\_\_ 1\_2/\_3\_1/\_2\_2 \_\_ \_** MM/DD/YY MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: **The Courtney Group, LLC** TYPE OF REGISTRANT (check all applicable boxes): r{S/ Broker-dealer O Security-based swap dealer 0 Major security-based swap participant D Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) **363 San Miguel Drive, Suite 210** (No. and Street) **Newport Beach California** (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING **92660** (Zip Code) **Thomas W. Courtney, Jr. (949) 706-3600 tcourtney@thecourtneygroup.com** (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* **Ernst Wintter** & **Associates LLP** (Name - if individual, state last, first, and middle name) **675 Ygnacio Valley Road, Suite A200 Walnut Creek California** (Address) (City) (State) **February 24, 2009 3438 94596** (Zip Code) **FOR OFFICIAL USE ONLY (PCAOB R,g;stratloo N,mbe,,** ;f **appHrable)** I \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.l 7a-5(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form** displays a currently valid 0MB control number. {2}------------------------------------------------ #### **OATH OR AFFIRMATION** I, **Thomas W. Courtney, Jr.** swear (or affirm) that, to the best of my knowledge and belief, the financi…Read the full text as markdown