Perspective Beyond Money.

Investment Banking

Disclosures

The information on this site is for information purposes only and is not intended to provide tax, legal or investment advice. You should not rely on any material contained in the website and / or reports and should consult a licensed professional or seek independent advice prior to making a decision. The information does not constitute a solicitation. The information provided herein may be displayed and printed for your personal, non-commercial use only. You may not reproduce, retransmit, distribute, disseminate, sell, publish, broadcast or circulate the information to anyone, without the express written consent of The Courtney Group.

Use any links contained in this website at your own risk. Links are solely intended for convenience and are not intended to be advertisement whatsoever. Linked sites are not under the control of The Courtney Group. The Courtney Group is not responsible for the content of any linked site or any link contained in any linked site. The Courtney Group does not endorse individuals or companies, or their products or services, to which links are provided.

FINRA® requires that FINRA member firms provide the following information concerning the FINRA public disclosure program:


Registration

The Courtney Group may only conduct business in states where the firm and/or its associated persons are properly registered or exempted from registration. For a complete list of states where The Courtney Group is currently registered please use The Courtney Group’s CRD # 114904 to search Broker Check available at www.finra.org. Do not rely on the list provided below as the registration status of The Courtney Group and/or an associated person may change without notice on this site.

As of 4.18.2018 The Courtney Group is registered in the following states as a broker-dealer: Arizona, California, and New York.


Customer Identification Program

The USA PATRIOT Act is designed to detect, deter, and punish terrorists in the United States and abroad. The act imposes anti-money laundering requirements on brokerage firms and financial institutions. The Act requires that firms positively verify the identity of their clients. For this reason, we ask for identification, such as a copy of a driver’s license or organizational documents, at times during our relationship with you. We may also ask you to certify beneficial ownership information. We crosscheck this information against government-published lists of entities and persons known for or suspected of involvement in terrorist activities.


BrokerCheck

FINRA posts useful information regarding any member firm or associated registered person on its website at www.finra.org or via inquiry to a toll-free telephone listing (800) 289-9999. Available information includes employment and disciplinary history of registered firms and persons, and all final disciplinary actions taken by federal, state, or foreign securities agencies or self-regulatory organizations that relate to securities or commodities transactions. This resource is available to all members of the investing public.


SIPC Information

The Courtney Group is a member of the Securities Investor Protection Corporation (“SIPC”). SIPC is the first line of defense in the event a brokerage firm fails owing customers cash and securities that are missing from customer accounts. You may obtain information about SIPC, including the SIPC brochure, by accessing SIPC’s website at www.sipc.org or by calling (202) 371-8300.


Privacy

At The Courtney Group your privacy is important to us. We believe keeping your information confidential is a fundamental part of doing business. We will never sell, rent, or barter your personal details in any way with any other company. We will not share your e-mail or mailing address with any third party. We will only share confidential information with another company with your permission. All data collected is for our internal use only.

We ensure that your privacy is fully protected under the law. All information collected about you is treated confidentially. We maintain physical, electronic, and procedural safeguards that comply with applicable law and regulations to guard your nonpublic personal information. We restrict our employees’ access to your information to only those who need to know the information to provide information or services to you and for other reasons permitted by law.


Business Continuity Plan

Our firm has a Business Continuity Plan in the event of a business disruption. Under most scenarios we plan to remain in operation using back-up systems and if necessary moving to alternative locations. In most cases, we do not believe there will be much of a delay, if any, in our firm's operations. You may contact the firm for further details at (949) 706-3600. An alternate contact phone number is (917) 701-9424.

Our Promise To You...

We promise our investment banking clients senior-level attention and the determination to see the investment banking assignments we accept through the entire process to successful completion. We promise our private equity partners, investors, lenders, advisors, and the companies in which we seek to invest transparency, responsiveness, and good faith dealing.

Our Pledge

At The Courtney Group, we pledge to provide you with the highest level of integrity and expertise; to recommend only what’s suitable for you and your situation; to give you senior-level personalized attention; and to stand by our work and our word.

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