Institution record
Guardian Stockbrokers
Guardian Stockbrokers Limited
- Source score
- 4.0
- Source exposures
- 0
- Comments
- 0
Licence records
Licences within our coverage (selected investment firm and financial institution records: continental europe) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
Financial Conduct Authority (UK FCA) | 492519 | Exceeded scope | Guardian Stockbrokers Ltd | 2009-04-27 |
Peer source record comparison
Compare imported fields for Guardian Stockbrokers and other records in our selected investment firm and financial institution records: continental europe dataset. These are not independent audit findings.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Source exposures |
|---|---|---|---|---|---|
| Guardian Stockbrokers (this record) | Financial Conduct Authority (UK FCA) | 0 / 1 | Risk level not supplied | 4.0 | 0 |
BaFinAMFFI+1 | 4 / 4 | Risk level not supplied | 5.0 | 0 | |
CYSECCNMVFSCA | 3 / 3 | Risk level not supplied | 6.5 | 0 | |
AFMEstonian Financial Intelligence Unit (FIU / RAB) | 2 / 2 | Risk level not supplied | 5.0 | 0 | |
Financial Supervision CommissionBulgarian National Bank (BNB) | 2 / 2 | Risk level not supplied | 5.0 | 0 | |
Estonian Financial Intelligence Unit (FIU / RAB)AMF | 1 / 2 | Risk level not supplied | 4.0 | 0 |
Guardian Stockbrokers: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Guardian Stockbrokers's regulatory licence status and supervisory authorisation?
The imported dataset contains 1 licence entry associated with Guardian Stockbrokers (legal entity reference: Guardian Stockbrokers Limited); 0 are labelled "regulated" and 0 are labelled regulated or registered: Financial Conduct Authority (UK FCA) — licence 492519, status: exceeded scope. These fields are not independent confirmation of current authorisation. Check the exact contracting entity and registration number on the official Financial Conduct Authority (UK FCA) public register.
Which of Guardian Stockbrokers's jurisdictions and licences fall within this site's regulatory coverage?
No matching licence records were found in this site's selected investment firm and financial institution records: continental europe source selection. The dataset may be incomplete; check the relevant official registers before drawing conclusions about authorisation or jurisdiction.
What is Guardian Stockbrokers's institutional risk classification, enforcement exposure, and score profile?
Guardian Stockbrokers carries a "risk level not supplied" classification in the source dataset, alongside composite 5-dimension ratings out of 10 (overall: 4.0, risk & licensing: 3.0, brand: 4.0, market influence: 4.0, user reputation: 0.0). The imported source lists 0 exposure entries and 1 licence record with elevated status flags (Financial Conduct Authority (UK FCA): exceeded scope). Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to Guardian Stockbrokers's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Guardian Stockbrokers (listed execution software: Demo trading account, MT4), institutional and retail allocators should: (1) confirm the domain (not supplied in source) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 source exposure entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to Financial Conduct Authority (UK FCA).