Craig Roy

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Enterprise, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-03-24
LA	RA	APPROVED	2026-03-23

TX RA
APPROVED_RES

Since 2026-03-24
LA RA
APPROVED

Since 2026-03-23

Branch Locations

Deville, LA • United States

3054 Monterrey Drive, Baton Rouge, LA 70814 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Edward Jones	St Louis	MO	08/2017	12/2025
United States Post Office	Pineville	LA	07/2017	08/2017
Lowes	Pineville	LA	05/2017	07/2017
Heart Of Louisiana Credit Union	Pineville	LA	12/2010	04/2017
Lpl Enterprise Llc	Baton Rouge	LA	03/2026	Present
Westside Habilitation Center	Alexandria	LA	03/2026	Present

08/2017 → 12/2025

Edward Jones

St Louis, MO
07/2017 → 08/2017

United States Post Office

Pineville, LA
05/2017 → 07/2017

Lowes

Pineville, LA
12/2010 → 04/2017

Heart Of Louisiana Credit Union

Pineville, LA
03/2026 → Present

Lpl Enterprise Llc

Baton Rouge, LA
03/2026 → Present

Westside Habilitation Center

Alexandria, LA

Previous Registrations

2017-10-02 → 2025-12-19

Edward Jones

Deville, LA

St Louis, MO

Marksville, LA

Alexandria, LA

Other Businesses

1. 03/17/2026 - Avoyelles Wealth Management LLC - DBA for LPL Business (entity for LPL business) - Deville, LA - INV REL - Start Date: 03/16/2026 - 160 Hrs/Mth - 160 Hrs During Trading 2. 03/17/2026 - Westside Habilitation Center - Outside/W-2 Employment - Alexandria, LA - INV REL - Start Date: 03/02/2026 - 160 Hrs/Mth - 160 Hrs During Trading 3. 03/17/2026 - Craig Roy N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Deville, LA - INV REL - Start Date: 02/18/2026 - 160 Hrs/Mth - 160 Hrs During Trading 4. 03/17/2026 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Deville, LA - INV REL - Start Date: 02/18/2026 - 160 Hrs/Mth - 160 Hrs During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-09-29

S66 Uniform Combined State Law Examination

2017-09-29

Other Names

Craig Anthony Roy

View on SEC IAPD