Full text of THE COURTNEY GROUP, LLC's X-17A-5 filed 2025-02-28 (period 2024-12-31). 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, 2024 # PUBLIC DOCUMENT Filed Pursuant to Rule 17a-5(e)(3) as a Public Document {1}------------------------------------------------ **PUBLIC** **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: I 2 # **ANNUAL REPORTS FORM X-17A-S PART Ill** | | 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 | __<br>___<br>0_1_/0_1_/2_4<br>MM/00/YY | ____<br>AND ENDING | __<br>12_/3_1_/2_4<br>_<br>MM/00/YY | | |--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|--------------------------------------------|--| | A. REGISTRANT IDENTIFICATION | | | | | | NAME OF FIRM: The Courtney Group, LLC | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | D 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 | | | | | | | (No. and Street) | | | | | Newport Beach | California | | 92660 | | | (City) | (State) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | 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 Blvd, Suite A200 | Walnut Creek | California | 94596 | | | (Address) | (City) | (State) | (Zip Code) | | | February 24, 2009 | | | 3438 | | | r<br>te of RegistcaUoo w;th PCAOB)(;f applicable) | | | (PCAOB Reg;s,ca,;oo N,mbe,, ;f applicable) | | | | FOR OFFICIAL U…Read the full text as markdown