Full text of THE COURTNEY GROUP, LLC's X-17A-5 filed 2024-02-29 (period 2023-12-31). 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, 2023 ## PUBLIC DOCUMENT Filed Pursuant to Rule 17-A-5(e)(3) as a Public Document {1}------------------------------------------------ *PUBLIC* **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: ϯϮϯϱͲϬϭϮϯ Expires: EŽǀ͘ϯϬ͕ϮϬϮϲ Estimated average burden hours per response: # **ANNUAL REPORTS FORM X-17A-5 PART III** SEC FILE NUMBER 8-53453 **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | FILING FOR THE PERIOD BEGINNING _____________________ AND ENDING ______________________ | 01/01/23<br>MM/DD/YY | | 12/31/23<br>MM/DD/YY | | |--------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------|----------------------|--| | | A. REGISTRANT IDENTIFICATION | | | | | The Courtney Group, LLC<br>NAME OF FIRM: _______________________________________________________________________ | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>܆<br>܆<br>Broker-dealer<br>✓<br>܆ Check here if respondent is also an OTC derivatives dealer | ܆<br>Security-based swap dealer | Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 363 San Miguel Drive, Suite 210<br>_____________________________________________________________________________________ | | | | | | | (No. and Street) | | | | | Newport Beach<br>_____________________________________________________________________________________ | California | | 92660 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Thomas W. Courtney, Jr. | (949) 706-3600<br>tcourtney@thecourtneygroup.com<br>_____________________________________________________________________________________ | | | | | (Name) | (Area Code – Telephone Number) | | (Email Address) | | | | B. ACCOUNTANT IDENTIFICATION | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | | _____________________________________________________________________________________<br>Ernst Wintter & Associates LLP | |…Read the full text as markdown