AIS Pensions LLP

• Principal Place of Business

  4 Mulgrave Chambers

  26-28 Mulgrave Road

  Sutton

  Surrey

  SM2 6LE

  UNITED KINGDOM

  Phone

  +442085436698

• Complaints Contact

  4 Mulgrave Chambers

  26-28 Mulgrave Road

  Sutton

  Surrey

  SM2 6LE

  UNITED KINGDOM

  Phone

  +442085436698

• Pension Transfer Advice

  For Professional, Retail (Investment), Life Policy, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Stakeholder pension scheme, Unit

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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.
  • · This activity is limited to the provision of advice in relation to the conversion or transfer of benefits from pension policies with a Guaranteed Annuity Rate.

• Investment Advice (no pensions)

  For Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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 Commercial, Professional, Retail (Investment), Retail (Non-Investment Insurance), Life Policy, Non-investment insurance contracts, Personal pension scheme, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Stakeholder pension scheme, Unit, Warrant

  Show 1 limitation Hide limitations

  • · 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.

• Andrew James Watt

  IRN AJW01626

  • [FCA CF] Client dealing (2 Feb 2021 to 28 Feb 2025)
  • [FCA CF] Functions requiring qualifications (2 Feb 2021 to 28 Feb 2025)
• Christopher John Sheffield

  IRN CXS12687

  • CF30 Customer (16 Mar 2019 to 8 Dec 2019)
• Donald Alexander Prance

  IRN DAP01100

  • CF30 Customer (1 Nov 2016 to 5 Nov 2018)
• Ian Giles Jemmett

  IRN IGJ01005

  • CF4 Partner (7 Jan 2019 to 31 Oct 2019)
  • CF30 Customer (1 Nov 2016 to 8 Dec 2019)
• Jennifer Alma Woods

  IRN JAS01507

  • 4. Giving personal recommendations on retail investment products which are not broker funds
  • 6. Giving personal recommendations on Friendly Society tax-exempt policies (other than Holloway sickness policies where the Holloway policy special application conditions are met)
  • [FCA CF] Client dealing (since 5 Mar 2026)
  • SMF17 Money Laundering Reporting Officer (MLRO) (since 11 Jan 2022)
  • SMF16 Compliance Oversight (since 11 Jan 2022)
  • Responsible for Insurance Distribution (since 11 Jan 2022)
  • [FCA CF] Significant management (since 2 Feb 2021)
  • [PRA CF] Key function holder (since 2 Feb 2021)
  • [FCA CF] Functions requiring qualifications (since 1 Sep 2020)
  • [FCA CF] Client dealing (1 Sep 2020 to 10 Mar 2025)
• Jonathan Stephen Sheffield

  IRN JSS00024

  • SMF27 Partner (since 9 Dec 2019)
  • SMF17 Money Laundering Reporting Officer (MLRO) (9 Dec 2019 to 26 Jan 2022)
  • SMF16 Compliance Oversight (9 Dec 2019 to 26 Jan 2022)
  • Responsible for Insurance Distribution (1 Oct 2018 to 26 Jan 2022)
  • CF30 Customer (1 Nov 2016 to 5 Nov 2018)
  • Responsible for Insurance Mediation (1 Nov 2016 to 30 Sep 2018)
  • CF11 Money Laundering Reporting (1 Nov 2016 to 8 Dec 2019)
  • CF4 Partner (1 Nov 2016 to 8 Dec 2019)
  • CF10 Compliance Oversight (1 Nov 2016 to 8 Dec 2019)
• Patricia Sheffield

  IRN PXS01834

  • SMF27 Partner (since 9 Dec 2019)
  • CF4 Partner (1 Nov 2016 to 8 Dec 2019)
• Ross Trevor Crake

  IRN RTC01043

  • CF30 Customer (5 Jun 2018 to 8 Dec 2019)

No changes recorded yet.