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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2026-05-04
TX RA APPROVED 2026-05-01
  • TN RA
    APPROVED
    Since 2026-05-04
  • TX RA
    APPROVED
    Since 2026-05-01

Branch Locations

220 Town Center Parkway St204, Spring Hill, TN 37174 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 11/2018 05/2022
Union University Jackson TN 07/2016 11/2018
Raymond James Financial Services, Inc Pensacola FL 05/2022 05/2026
Raymond James Financial Services Advisors, Inc Pensacola FL 05/2022 05/2026
Gulf Winds Credit Union Pensacola FL 05/2022 05/2026
Smith Complete Wealth Spring Hill TN 05/2026 Present
Lpl Financial Llc Spring Hill TN 05/2026 Present
  • 11/2018 → 05/2022
    St Louis, MO
  • 07/2016 → 11/2018
    Union University
    Jackson, TN
  • 05/2022 → 05/2026
    Raymond James Financial Services, Inc
    Pensacola, FL
  • 05/2022 → 05/2026
    Pensacola, FL
  • 05/2022 → 05/2026
    Gulf Winds Credit Union
    Pensacola, FL
  • 05/2026 → Present
    Smith Complete Wealth
    Spring Hill, TN
  • 05/2026 → Present
    Spring Hill, TN
Previous Registrations
Other Businesses

1. 4/2026 - Mallard Co, LLC - Business Owner - INV REL - 0 Hour(s)/Month - 0 Hour(s) During Trading - Milton FL 32571 - OBA Start date: 10/16/2023 2. 4/2026 - Mallard Wealth Management - DBA for LPL Business (entity for LPL business) - INV REL - 175 Hour(s)/Month - 130 Hour(s) During Trading - Milton FL 32571 - OBA Start date: 4/30/2026 3. 5/2026 - Smith Complete Wealth - DBA for LPL Business (entity for LPL business) - INV REL - 160 Hour(s)/Month - 130 Hour(s) During Trading - Spring Hill, TN 37174 - OBA Start date: 5/01/2026

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-01-05
  • S66 Uniform Combined State Law Examination
    2019-01-05
Other Names
  • Clay Mallard

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