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TC

Thomas W. Courtney

THE COURTNEY GROUP
NEWPORT BEACH, CA 92660
Some features on this profile are disabled
CRD#: 1587615
TC

Professional summary

Thomas William Courtney JR is a registered financial professional currently at THE COURTNEY GROUP, LLC located in Newport Beach, California.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1990. Thomas has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas William Courtney JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 22, 2002 - Present

THE COURTNEY GROUP, LLC

Office #1: 363 San Miguel Drive Suite 210, Newport Beach, CA 92660Office #2: 363 San Miguel Drive Suite 210, Newport Beach, CA 92660
BD
CRD#: 114904
NEWPORT BEACH, CA
Past

May 22, 1992 - May 31, 1995

PEERS & CO.

BD
CRD#: 25702
NEW YORK, NY
Past

October 22, 1990 - February 4, 1992

WOLFENSOHN & CO., INC.

BD
CRD#: 11798

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/15/2025)
RR
Maryland
(2/5/2025)
RR
New York
(1/29/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/4/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/17/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
THE COURTNEY GROUP, LLC
THE COURTNEY GROUP, LLC

CRD#: 114904 / SEC#: , 8-53453

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
363 San Miguel Drive Suite 210, Newport Beach, CA 92660
Mailing Address
363 San Miguel Drive Suite 210, Newport Beach, CA 92660
Phone number
(949) 706-3600
Established
Delaware since 06/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
COURTNEY, THOMAS WILLIAM JRPRESIDENT/DIRECTOR, CHIEF COMPLIANCE OFFICER1587615
COLLINS, ELIZABETH SARAHFINANCIAL AND OPERATIONS PRINCIPAL4714831

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

THE COURTNEY GROUP, LLC

CRD#: 114904Newport Beach, CA 92660

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