Institution record
Guardian Stockbrokers
Guardian Stockbrokers Limited
- Source score
- 4.0
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (firms with licence warnings, enforcement flags or complaints) are listed first. Check each one on the regulator's own register.
| Regulator | Licence no. | Status | Licensed entity | Date | |
|---|---|---|---|---|---|
In our coverage Financial Conduct Authority (UK FCA) | 492519 | Exceeded scope | Guardian Stockbrokers Ltd | 2009-04-27 |
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Guardian Stockbrokers against peer institutions in our firms with licence warnings, enforcement flags or complaints dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Guardian Stockbrokers (this record) | Financial Conduct Authority (UK FCA) | 0 / 1 | Risk level not supplied | 4.0 | 0 |
| Trilt | Financial Conduct Authority (UK FCA)CNMVCYSEC+1 | 0 / 4 | Risk level not supplied | 1.5 | 0 |
| Kyte | Financial Conduct Authority (UK FCA)NFA | 0 / 2 | Risk level not supplied | 6.0 | 0 |
| Swissquote | Financial Conduct Authority (UK FCA)CYSECMAS+3 | 5 / 6 | Risk level not supplied | 6.5 | 0 |
| Exinity | Financial Conduct Authority (UK FCA)Financial Services Commission, Mauritius | 1 / 2 | Risk level not supplied | 6.0 | 0 |
| Zenfinex | Financial Conduct Authority (UK FCA)SVG FSAFinancial Services Authority Seychelles | 2 / 3 | Risk level not supplied | 5.0 | 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?
In our imported dataset, Guardian Stockbrokers (legal entity reference: Guardian Stockbrokers Limited) holds 1 recorded licence entry, of which 0 carry a "regulated" status and 0 are marked regulated or registered: Financial Conduct Authority (UK FCA) — licence 492519, status: exceeded scope. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name 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?
This directory focuses on firms with licence warnings, enforcement flags or complaints. 1 of Guardian Stockbrokers's 1 licence records fall directly within this jurisdictional mandate: Financial Conduct Authority (UK FCA) (licence 492519, exceeded scope, entity: Guardian Stockbrokers Ltd). Always confirm whether client money segregation and statutory investor compensation schemes apply to the specific subsidiary onboarding your account.
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 record flags 0 regulatory warning or complaint counts 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), 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 recorded warning/complaint 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).
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