Julio Rodriguez

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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 Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-10-07

TX RA
APPROVED

Since 2025-10-07

Branch Locations

Lavon, TX • United States

4707 Executive Dr, San Diego, CA 92121-3091 • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Pfs Investments Inc	Dallas	TX	05/2011	01/2023
Primerica	Dallas	TX	08/2009	01/2023
Terra Wealth	Athens	TX	01/2023	08/2025
Oasis Advisors, Llc	Athens	TX	05/2025	10/2025
Lpl Financial Llc	Lavon	TX	10/2025	Present

05/2011 → 01/2023

Pfs Investments Inc

Dallas, TX
08/2009 → 01/2023

Primerica

Dallas, TX
01/2023 → 08/2025

Terra Wealth

Athens, TX
05/2025 → 10/2025

Oasis Advisors, Llc

Athens, TX
10/2025 → Present

Lpl Financial Llc

Lavon, TX

Previous Registrations

2025-06-07 → 2025-10-13

Oasis Advisors

Athens, TX

Forest City, IA
2024-06-26 → 2025-08-27

Terra Wealth

Athens, TX

High Point, NC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-02-29
S63	Uniform Securities Agent State Law Examination	2011-11-04

S65 Uniform Investment Adviser Law Examination

2024-02-29
S63 Uniform Securities Agent State Law Examination

2011-11-04

View on SEC IAPD