Craig Roy: Why Was LPL Advisor Fired by Edward Jones?

Baton Rouge, Louisiana financial advisor Craig Roy (CRD# 6834029) was recently terminated from a former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Edward Jones representative is currently registered as a broker and an investment advisor with LPL Enterprise.

Mr. Roy’s BrokerCheck report discloses his firing from Edward Jones. Filed in December 2025, the disclosure states that the firm terminated him in connection with allegations of concerns that he “did not adhere to the Firm’s Complaints policy.”

While the disclosure does not specify the circumstances surrounding Mr. Roy’s resignation, it may relate to several FINRA rules. FINRA Rule 2010, for instance, requires FINRA-associated persons to “observe high standards of commercial honor and just and equitable principles of trade.” Many types of unethical conduct, including the failure to follow firm policies and procedures, may be found to constitute violations of FINRA Rule 2010, provided the alleged activities occur “in the conduct of [the member’s] business.” Brokers who fail to uphold FINRA Rule 2010 may be held liable in the event of losses.

According to the Financial Industry Regulatory Authority, Craig Roy holds eight years of securities industry experience. Based in Baton Rouge, Louisiana, he has been registered as a broker and an investment advisor with LPL Enterprise since March 2026. He was previously registered with Edward Jones in Marksville, Louisiana from 2017 until 2025. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the General Securities Representative Examination, or Series 7. He is licensed in Louisiana and Texas. (Information current as of March 30, 2026.)

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