Haselkorn & Thibaut has opened an investigation into Roy Jeremy James (CRD# 6380422), a financial advisor currently registered with LPL Enterprise, LLC in St. Petersburg, Florida. If you are an investor who has worked with Roy Jeremy James, this research report will help you understand his professional background, regulatory record, and what steps you can take if you have concerns about your investments.
Background on Roy Jeremy James (LPL Enterprise, LLC, St. Petersburg, FL)
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Roy Jeremy James is an actively registered broker and investment adviser with over 11 years of experience in the financial services industry. As of January 2026, he is affiliated with LPL Enterprise, LLC (CRD# 8733), one of the largest broker-dealers in the nation. He holds licenses in 14 states, including Florida, Georgia, New York, Texas, and more. Over the course of his career, he has worked for two major firms: his most recent transition was from Pruco Securities, LLC and Prudential Financial Planning Services—where he worked nearly a decade—to joining LPL Enterprise, LLC in November 2024.
| Advisor Name | CRD Number | Current Firm | Location | Industry Experience | Licenses Held | Status |
|---|---|---|---|---|---|---|
| Roy Jeremy James | 6380422 | LPL Enterprise, LLC | St. Petersburg, FL | 11 years | 14 states | Active Broker & Adviser |
Understanding the Advisor’s Professional Path
- Started in financial services: August 2014 with Pruco Securities, LLC
- Long-term tenure: Spent nearly 10 years with Prudential-affiliated firms
- Current registration: Broker and investment adviser at LPL Enterprise, LLC since November 2024
- Licenses: Holds active registrations in 14 jurisdictions
It is common for experienced advisors to maintain both broker and investment adviser credentials, allowing them to both facilitate investment transactions and provide advisory services. Roy Jeremy James now serves investors in a dual capacity, expanding his capability to offer various investment products and solutions.
Complaints and Disclosures: What Investors Need to Know
Transparency is essential when evaluating a financial advisor. Roy Jeremy James has one customer dispute disclosure recorded in November 2024—a key consideration for current or prospective clients.
Complete List of Complaints and Regulatory Disclosures
| Date | Type | Allegations | Status | Resolution / Outcome | Amount Requested |
|---|---|---|---|---|---|
| Nov. 5, 2024 | Customer Dispute | Breach of fiduciary duty | Denied | No damages awarded; complaint denied | $5,025.64 (FINRA) / $5,625.64 (internal record) |
Summary of the Complaint: The customer alleged that Roy Jeremy James breached his fiduciary duty. He responded by denying all allegations, stating, “I deny all allegations of wrongdoing and this complaint is without merit. All recommendations made to claimant were suitable and within claimant’s investment objectives.” The complaint was denied, and as of the latest available update, no damages have been awarded, nor has the matter proceeded to arbitration.
No additional disclosures: Over his 11-year career, Roy Jeremy James does not have any other reported regulatory actions, terminations, bankruptcy filings, or criminal proceedings.
Analysis: Red Flags for Investors
While a single denied customer complaint may not suggest a pattern of misconduct, it remains an important factor for investors assessing an advisor’s overall record. Here are several points to consider:
- Only one customer dispute in 11 years of industry service—a positive sign compared to many advisors with multiple complaints.
- The timing of the complaint (November 2024) coincided with his move from Prudential to LPL. Such transitions can sometimes increase the risk of disputes, as client accounts and relationships are transferred.
- Comprehensive licensing and clean regulatory record otherwise support a professional track record.
- Investors should always stay vigilant if there are any concerns about recommendations, suitability, or account activity—especially during or after an advisor’s change of employer.
What Does This Mean For Investors?
For most investors, Roy Jeremy James’ record is relatively clean, with one denied complaint and no history of regulatory action or financial misconduct. However, even a single complaint—particularly one alleging fiduciary breach—should inspire careful review. If you notice transactions you did not authorize, recommendations you do not understand, or investment losses you cannot explain, it is your right to seek further information.
Given his geographic footprint, Roy Jeremy James serves clients not only in Florida but across 13 other states. This broad licensing may be of comfort to some, but it also means investors should feel empowered to check their advisor’s FINRA BrokerCheck profile for the most up-to-date information.
Haselkorn & Thibaut Can Help – Free Case Review for Concerned Investors
Haselkorn & Thibaut (investmentfraudlawyers.com) is a national securities fraud law firm with over 50 years of combined experience, a 98% success rate, and millions recovered for clients across the country. The firm is currently investigating matters involving Roy Jeremy James and LPL Enterprise, LLC.
- If you have concerns about your investments with Roy Jeremy James, or if you are uncertain about the advice you received, call Haselkorn & Thibaut at 1-888-885-7162 for a free, confidential consultation.
- No recovery, no fee. There is zero risk in seeking an opinion from experienced investment fraud attorneys.
- Your rights as an investor matter. The sooner you speak up, the better the chance of addressing and potentially recovering losses.
Every investor deserves peace of mind and transparency in their financial relationship. Whether you are looking for reassurance, want a second opinion on your portfolio, or are concerned about your advisor’s conduct, Haselkorn & Thibaut’s investigation can provide answers and help you take the right next steps.
Your consultation is strictly confidential—and the firm’s results speak for themselves: a 98% success rate and millions recovered.
Get peace of mind today. Call 1-888-885-7162 for your free evaluation or visit investmentfraudlawyers.com. Don’t wait until small concerns become big ones—Haselkorn & Thibaut is here to help guide you through the process.
