Haselkorn & Thibaut, a leading national investment fraud law firm, has initiated an investigation concerning Craig Roy, financial advisor in Baton Rouge, Louisiana, affiliated with LPL Enterprise (CRD# 6834029). If you are an investor who has worked with Craig Roy, or you have concerns regarding your investments, this research report is specifically prepared for you. Our goal is to provide a clear, factual view of the advisor’s background and help empower you to make informed decisions for your financial security. If you have any questions or wish to discuss your concerns confidentially, call Haselkorn & Thibaut at 1-888-885-7162 for a free consultation—no recovery, no fee.
Who Is Craig Roy?
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Craig Roy (CRD# 6834029) is a financial advisor currently registered with LPL Enterprise in Baton Rouge, Louisiana. With just over eight years of experience in the securities industry, Roy has served clients in Louisiana and Texas, offering guidance as both a broker and an investment advisor.
His professional credentials include:
- Securities Industry Essentials Examination (SIE)
- General Securities Representative Examination (Series 7)
- Uniform Combined State Law Examination (Series 66)
Previously, Roy held registration with Edward Jones in Marksville, Louisiana from 2017 until late 2025. As of March 2026, he is affiliated with LPL Enterprise, one of the country’s largest independent broker-dealers.
Why Was Craig Roy Fired by Edward Jones?
A key disclosure in Roy’s regulatory record is his termination by Edward Jones in December 2025. According to FINRA, the reason provided was concerns that he “did not adhere to the Firm’s Complaints policy.”
While the record does not elaborate on the specifics, this type of notation typically relates to an advisor’s duty to properly address and report customer complaints or issues—a serious matter under FINRA’s ethical standards. FINRA Rule 2010 requires registered representatives to observe “high standards of commercial honor and just and equitable principles of trade.” Any failure to follow internal firm policies or procedures may be viewed as a potential breach of these standards, especially when it involves how client complaints are handled.
It is important to note, however, that there is no public record describing the underlying client issue (if any), nor whether this was an isolated procedural issue, an oversight, or something more material. Investors looking for absolute clarity should connect with an experienced securities law team like Haselkorn & Thibaut for further insight.
Craig Roy’s FINRA BrokerCheck and Complaint History
Below is a detailed table summarizing the findings from BrokerCheck, regulatory, and legal research as of the most recent records:
| Category | Details |
|---|---|
| Advisor Name | Craig Roy |
| Broker-Dealer (Current) | LPL Enterprise |
| Location | Baton Rouge, Louisiana |
| CRD Number | 6834029 |
| Years of Experience | 8+ |
| Past Firm | Edward Jones (2017-2025) |
| Current Licenses | SIE, Series 7, Series 66 |
| State Registrations | Louisiana, Texas |
| Customer Complaints | 0 |
| Arbitration Claims | 0 |
| Regulatory Actions | None |
| Criminal Disclosures | None |
| Bankruptcies | None |
Red Flags and What Investors Should Watch For
No customer complaints, lawsuits, or regulatory actions are on record for Craig Roy as of the latest research. However, the termination from Edward Jones due to procedural concerns regarding complaint handling is important context for investors. Questions for investors to consider include:
- Were you aware of this termination and the stated policy violation?
- Have you ever had a complaint or issue that you raised with Craig Roy?
- Do you have concerns about how your account or investments were managed?
Minor infractions can sometimes hint at deeper issues, while in many other cases, they represent correctable procedural lapses. That is why independent review and legal consultation are highly recommended when considering any financial advisor change or possible claim.
Haselkorn & Thibaut’s Approach: Your Advocate
With more than 50 years of combined experience, a 98% success rate and millions recovered for investors nationwide, Haselkorn & Thibaut is dedicated to protecting investors like you. If you have worked with Craig Roy (CRD# 6834029) at LPL Enterprise or previously at Edward Jones in Baton Rouge or Marksville, and have questions about your account or an investment loss, we invite you to a free and confidential consultation.
No recovery, no fee: If you do not recover losses, you owe nothing for our services.
Next Steps for Concerned Investors
Engage, don’t wait:
- If you have experienced unusual account activity or poor performance, don’t ignore potential red flags.
- Take the time to review your statements and communications.
- Seek a second opinion regarding any investment concerns – a no-risk first step.
Contact Haselkorn & Thibaut Today
If you have any doubts, want an expert review, or just need reassurance regarding your work with Craig Roy in Baton Rouge, Louisiana at LPL Enterprise, reach out to Haselkorn & Thibaut:
☎️ 1-888-885-7162
Your first consultation is confidential and free of charge. Protect your future by asking questions and ensuring your financial advisor is truly advocating for your best interests.
For those who wish to independently review Craig Roy’s background, visit his FINRA BrokerCheck profile.
Haselkorn & Thibaut – Experience, Results, and Investors First.
