Full text of THE COURTNEY GROUP, LLC's X-17A-5 filed 2026-02-17 (period 2025-12-31). 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, 2025 ## PUBLIC DOCUMENT Filed Pursuant to Rule l 7a-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: 12 # **ANNUAL ~EPORTS FORM X-17A-5 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 \_\_\_\_ 0\_1/\_0\_1/\_25 \_\_\_ AND ENDING \_ \_ \_\_ 1\_2\_/3\_1\_/2\_5 \_\_ \_ MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: The Courtney Group, LLC TYPE OF REGISTRANT (check all applicable boxes): ~ Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives 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 (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 Blvd, Suite A200 Walnut Creek California (Address) (City) (State) February 24, 2009 3438 94596 (Zip Code) l"" of Reg;str,.oo w;th PCAOB)l;f appU<ableJ **FOR OFFICIAL USE ONL V (PCAOB Reg;s,,m;o, N,mbec, tt appU<ableJ** 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 240.17a-S(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…Read the full text as markdown