Complaints Handling Procedure

What should I do if I have a complaint?

If you have a complaint about the financial services provided to you, you should:

Speak to your financial adviser about your concerns, or call our office on:

Phone: (07) 4632 2900

If after speaking to us, your complaint is not resolved within five business days, please write to:

Compliance and Professional Standards Manager

Lion and Shield Financial Planning Pty Ltd

PO Box 959, Toowoomba, QLD, 4350

We will be required to try to resolve complaints internally within 30 days. If after 30 days, we cannot resolve your complaint to your satisfaction, you have the right to refer the matter to the Australian Financial Complaints Authority ('AFCA'). AFCA can be contacted on: 

Post: GPO Box 3, Melbourne, Victoria, 3001


Phone: 1800 931 678


Alternatively, other matters can be referred to the industry regulator, the Australian Securities and Investment Commission (ASIC). ASIC can be contacted on: 

Phone: 1300 300 630