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| <edgarSubmission xmlns="http://www.sec.gov/edgar/mafiler" xmlns:com="http://www.sec.gov/edgar/common_ma" xmlns:com1="http://www.sec.gov/edgar/common"> |
| <headerData> |
| | <submissionType> MA </submissionType> |
| | <filerInfo> |
| | | <com:filer> |
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| <com1:filerCcc> XXXXXXXX </com1:filerCcc> |
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| | | <com:contact> |
| <com1:name> Guardian Advisors LLC </com1:name> |
| <com1:phoneNumber> 931-796-0777 </com1:phoneNumber> |
| </com:contact> |
| | | <com:contactEmail> guardianadvisors@hughes.net </com:contactEmail> |
| | | <com:notifications> |
| <com1:internetNotificationAddress> guardianadvisors@hughes.net </com1:internetNotificationAddress> |
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| | <firmName> GUARDIAN ADVISORS LLC </firmName> |
| | <irsNum> 81-0613230 </irsNum> |
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| | | <maTregistration> |
| <com:fileNumber> 866-00008-00 </com:fileNumber> |
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| | | </registrations> |
| | <principalOfficeAddress> |
| | | <phoneNumber> 931-796-0777 </phoneNumber> |
| | | </principalOfficeAddress> |
| | <mailingAddressDifferent> N </mailingAddressDifferent> |
| | <primaryWebAddress> guardianadvisorsllc.net </primaryWebAddress> |
| | <cco> |
| | | <name> |
| <com:firstName> Stephen </com:firstName> |
| <com:middleName> Lee </com:middleName> |
| <com:lastName> Bates </com:lastName> |
| </name> |
| | | <titles> |
| <title> Chief Manager/President </title> |
| </titles> |
| | | <phoneNumber> 931-796-0777 </phoneNumber> |
| | | <faxNumber> 931-796-0779 </faxNumber> |
| | | <email> guardianadvisors@hughes.net </email> |
| | | </cco> |
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| <formOrgTypes> |
| <LLC/> |
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| | | </formOfOrganization> |
| | <monthOfFiscalYearEnd> December </monthOfFiscalYearEnd> |
| | <organizedJurisdiction> |
| | | <com1:stateOrCountry> TN </com1:stateOrCountry> |
| | | </organizedJurisdiction> |
| | <dateOfOrganization> 05-23-2003 </dateOfOrganization> |
| | <isPrcApplicant> N </isPrcApplicant> |
| | <numberOfEmployees> 1 </numberOfEmployees> |
| | <employeesEngagedInMAA> 1 </employeesEngagedInMAA> |
| | <maaEmployeesRegBD> 0 </maaEmployeesRegBD> |
| | <maaRegIA> 0 </maaRegIA> |
| | <numberOfSolicitingFirms> 0 </numberOfSolicitingFirms> |
| | <clientsServedAsMA> 20 </clientsServedAsMA> |
| | <typesOfClients> |
| | | <typesOfClients> |
| <clientTypes> Municipal Entities </clientTypes> |
| </typesOfClients></typesOfClients> |
| | <numberOfSolicitedME> 20 </numberOfSolicitedME> |
| | <numberOfSolicitedOP> 0 </numberOfSolicitedOP> |
| | <totalNumberOfSolicitedMEAndOP> 20 </totalNumberOfSolicitedMEAndOP> |
| | <typesOfSolicitedPersons> |
| | | <solicitationPersonTypes> |
| <solicitationPersonTypes> Not Applicable </solicitationPersonTypes> |
| </solicitationPersonTypes> |
| | | </typesOfSolicitedPersons> |
| | <meOrOPCompensationTypes> |
| | | <compensationTypes> |
| <compensationTypes> Fixed Fees </compensationTypes> |
| <compensationTypes> Contingent Fees </compensationTypes> |
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| | | </meOrOPCompensationTypes> |
| | <solicitationCompensationTypes> |
| | | <compensationTypes> |
| <compensationTypes> Fixed Fees </compensationTypes> |
| <compensationTypes> Contingent Fees </compensationTypes> |
| </compensationTypes> |
| | | </solicitationCompensationTypes> |
| | <engagedActivities> |
| | | <engagedActivityTypes> |
| <engagedActivityType> Advice Insurance Of MS </engagedActivityType> |
| <engagedActivityType> Advice ME Investments </engagedActivityType> |
| </engagedActivityTypes> |
| | | </engagedActivities> |
| | <isEngagedInOtherNonMAABusiness> N </isEngagedInOtherNonMAABusiness> |
| | <totalFIAAssociatedPersons> 0 </totalFIAAssociatedPersons> |
| | <participationInterestMACT> |
| | | <mactBuySellFromClients> N </mactBuySellFromClients> |
| | | <mactBuySellRecommendToClients> N </mactBuySellRecommendToClients> |
| | | <mactEnterDerivativesWithClients> N </mactEnterDerivativesWithClients> |
| | | <mactRecommendOwnedInterestToClients> N </mactRecommendOwnedInterestToClients> |
| | | <mactRecommendToClientsServing> N </mactRecommendToClientsServing> |
| | | <mactRecommendToClientsHavingOtherSalesInterest> N </mactRecommendToClientsHavingOtherSalesInterest> |
| | | <mactDiscAuthBuySellAsMAA> N </mactDiscAuthBuySellAsMAA> |
| | | <mactDiscAuthBuySell> N </mactDiscAuthBuySell> |
| | | <mactDiscAuthDetermineBrokerDealer> N </mactDiscAuthDetermineBrokerDealer> |
| | | <mactDiscAuthDetermineCommissionToBrokerDealer> N </mactDiscAuthDetermineCommissionToBrokerDealer> |
| | | <mactRecommendBrokerDealerToClient> N </mactRecommendBrokerDealerToClient> |
| | | <mactCompensateForReferrals> N </mactCompensateForReferrals> |
| | | <mactReceiveCompensationForReferrals> N </mactReceiveCompensationForReferrals> |
| | | </participationInterestMACT> |
| | <disclosureAnswers> |
| | | <criminalDisclosure> |
| <com:isConvictedOfFelony> N </com:isConvictedOfFelony> |
| <com:isChargedWithFelony> N </com:isChargedWithFelony> |
| <com:isOrgConvictedOfFelony> N </com:isOrgConvictedOfFelony> |
| <com:isOrgChargedWithFelony> N </com:isOrgChargedWithFelony> |
| </criminalDisclosure> |
| | | <regulatoryDisclosure> |
| <com:isMadeFalseStatement> N </com:isMadeFalseStatement> |
| <com:isViolatedRegulation> N </com:isViolatedRegulation> |
| <com:isCauseOfDenial> N </com:isCauseOfDenial> |
| <com:isOrderAgainst> N </com:isOrderAgainst> |
| <com:isImposedPenalty> N </com:isImposedPenalty> |
| <com:isUnEthical> N </com:isUnEthical> |
| <com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation> |
| <com:isFoundInCauseOfDenial> N </com:isFoundInCauseOfDenial> |
| <com:isOrderAgainstActivity> N </com:isOrderAgainstActivity> |
| <com:isDeniedLicense> N </com:isDeniedLicense> |
| <com:isFoundMadeFalseStatement> N </com:isFoundMadeFalseStatement> |
| <com:isFoundInViolationOfRules> N </com:isFoundInViolationOfRules> |
| <com:isFoundInCauseOfSuspension> N </com:isFoundInCauseOfSuspension> |
| <com:isDiscipliend> N </com:isDiscipliend> |
| <com:isAuthorizedToActAttorney> N </com:isAuthorizedToActAttorney> |
| <com:isRegulatoryComplaint> N </com:isRegulatoryComplaint> |
| </regulatoryDisclosure> |
| | | <civilDisclosure> |
| <com:isEnjoined> N </com:isEnjoined> |
| <com:isFoundInViolationOfRegulation> N </com:isFoundInViolationOfRegulation> |
| <com:isDismissed> N </com:isDismissed> |
| <com:isNamedInCivilProceeding> N </com:isNamedInCivilProceeding> |
| </civilDisclosure> |
| | | </disclosureAnswers> |
| | <hasAnnualReceiptsLessThan7Million> Y </hasAnnualReceiptsLessThan7Million> |
| | <isAffiliatedWithReceiptsMoreThan7Million> N </isAffiliatedWithReceiptsMoreThan7Million> |
| | <scheduleA> |
| | | <persons> |
| <person> |
| <name> |
| <com:firstName> Stephen </com:firstName> |
| <com:middleName> Lee </com:middleName> |
| <com:lastName> Bates </com:lastName> |
| </name> |
| <baseInformation> |
| <titleStatus> Chief Manager </titleStatus> |
| <statusAcquired> 05-23-2003 </statusAcquired> |
| <ownershipCode> E </ownershipCode> |
| <isControPerson> Y </isControPerson> |
| </baseInformation> |
| </person> |
| </persons> |
| | | </scheduleA> |
| | <maExecutionPage> |
| | | <signature> |
| <com1:signature> Stephen L Bates </com1:signature> |
| <com1:signerName> Stephen L. Bates </com1:signerName> |
| <com1:title> Chief Manager/President </com1:title> |
| <com1:date> 12-05-2014 </com1:date> |
| </signature> |
| | | </maExecutionPage> |
| | <controls> |
| | | <isSolePropietor> N </isSolePropietor> |
| | | <hasNameChange> N </hasNameChange> |
| | | <hasDBAName> N </hasDBAName> |
| | | <hasPreviousDBAName> N </hasPreviousDBAName> |
| | | <hasAdditionalDBANames> N </hasAdditionalDBANames> |
| | | <hasMATReg> Y </hasMATReg> |
| | | <additionalRegs> N </additionalRegs> |
| | | <additionalOffices> N </additionalOffices> |
| | | <hasMailingAddress> N </hasMailingAddress> |
| | | <hasAdditionalWebsites> N </hasAdditionalWebsites> |
| | | <hasBooksRecords> N </hasBooksRecords> |
| | | <isRegisteredFFRA> N </isRegisteredFFRA> |
| | | <isAffiliatedOtherBus> N </isAffiliatedOtherBus> |
| | | <independentBusinessEmployee> N </independentBusinessEmployee> |
| | | <receiveCompensationForMAAFromOtherClients> N </receiveCompensationForMAAFromOtherClients> |
| | | <isSucceedingApplicant> N </isSucceedingApplicant> |
| | | <isCPForApplicantPolicy> N </isCPForApplicantPolicy> |
| | | <isPRCompanyUnder1215> N </isPRCompanyUnder1215> |
| | | <hasScheduleB> N </hasScheduleB> |
| | | <isSection12Or15ReportingCompany> N </isSection12Or15ReportingCompany> |
| | | </controls> |
| | </formData> |
| </edgarSubmission> |
