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Laurence W. Levi

THE COURTNEY GROUP
NEWPORT BEACH, CA 92660
CRD#: 5772155
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LL
Laurence Walter LeviTHE COURTNEY GROUP

Professional summary

Laurence Walter Levi, who also goes by Laurence Levi, is a registered financial professional currently at THE COURTNEY GROUP, LLC located in Newport Beach, California.

Laurence is registered as a RR (Registered Representative) and started their career in finance in 2010. Laurence has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laurence Levi

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 Laurence Walter Levi'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

August 16, 2022 - Present

THE COURTNEY GROUP, LLC

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

May 3, 2010 - April 1, 2011

SIKICH CORPORATE FINANCE LLC

BD
CRD#: 149024
NAPERVILLE, IL

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
New York
(9/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/12/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/16/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/6/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/2010
General Securities Representative 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)

Documents

Direct owners and executive officers

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

Red Flags

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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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