Guardian Stockbrokers Ltd

• Principal Place of Business

  Tallis House

  2 Tallis Street

  London

  EC4Y 0AB

  UNITED KINGDOM

  Phone

  +4402076386996

  Web

  https://www.guardianstockbrokers.com

• Complaints Contact

  Tallis House

  2 Tallis Street

  London

  EC4Y 0AB

  UNITED KINGDOM

  Phone

  +4402076386996

• P2P Lending Advice

  For Eligible Counterparty, Professional, Retail (Investment)

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Retail (Investment), Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Rolling spot forex contract, Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Aman Ullah Siddiqui

  IRN AXS01850

  • CF30 Customer (22 Aug 2011 to 21 Sep 2012)
• Anthony Eugene Montaut

  IRN AEM01076

  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF1 Director (27 Apr 2009 to 8 Dec 2019)
  • CF10 Compliance Oversight (27 Apr 2009 to 19 Mar 2010)
  • CF11 Money Laundering Reporting (27 Apr 2009 to 19 Mar 2010)
  • CF30 Customer (27 Apr 2009 to 8 Dec 2019)
• Atif Latif

  IRN AXL01407

  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • 13. Giving personal recommendations on and dealing with derivatives
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • SMF3 Executive Director (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (12 May 2009 to 8 Dec 2019)
  • CF1 Director (12 May 2009 to 8 Dec 2019)
• Deniz Can Heleteli

  IRN DCH01135

  • CF30 Customer (15 Sep 2014 to 21 Jan 2015)
• Farzin Khaleghi-Yazdi

  IRN FXK01018

  • CF30 Customer (8 Jul 2010 to 23 Feb 2017)
• George Anthony Parry

  IRN GAP01087

  • CF30 Customer (8 Feb 2016 to 21 Mar 2017)
• John Casey

  IRN JXC03189

  • CF30 Customer (4 Dec 2017 to 9 Mar 2018)
• Justin Guy Whittaker Harris

  IRN JGH01126

  • 13. Giving personal recommendations on and dealing with derivatives
  • 12. Giving personal recommendations on and dealing in securities which are not stakeholder pension schemes or personal pension schemes or broker funds
  • [FCA CF] Client dealing (since 9 Dec 2019)
  • [FCA CF] Functions requiring qualifications (since 9 Dec 2019)
  • CF30 Customer (7 May 2009 to 8 Dec 2019)
• Michael Robert Smith

  IRN MRS01304

  • CF30 Customer (12 Oct 2015 to 18 Nov 2015)
• Peter Guy Parry

  IRN PGP01040

  • CF30 Customer (7 Apr 2017 to 5 Dec 2018)

• Exedra Capital Limited (no longer appointed)

  FRN 585217 · Appointed 25 Jul 2012 · Until 31 Dec 2017

No changes recorded yet.