Carie Marie Phelps Estrada

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2013 → 09/2024
  Securities Equity Group
  Spring Valley, CA
• 01/2013 → 09/2016
  Lord & Gladden, Inc.
  El Cajon, CA
• 11/2016 → Present
  J2X Legacy Advisors, Llc
  Spring Valley, CA
• 09/2024 → Present
  Lpl Financial Llc
  San Diego, CA

Previous Registrations

• 2016-12-08 → 2024-10-31
  J2X Legacy Advisors Llc
  Spring Valley, CA
  Spring Valley, CA
• 2011-01-03 → 2011-10-20
  Wells Fargo Clearing Services, Llc
  San Diego, CA
• 2006-10-13 → 2011-01-03
  Wells Fargo Investments, Llc
  San Diego, CA
• 2002-05-03 → 2006-12-19
  Lord & Gladden, Inc.
  La Mesa, CA

Other Businesses

1- 08/2024 / Lucia Capital Group / DBA for LPL Business (entity for LPL business) / INV RLTD / 160 HRS MNTH / 40 HRS DURING TRADING / START 09/19/2024 2- 08/2024 / PRESIDENT OF PHELPS FARMS, INC. / C-Corp, farm is included. / NON INV RLTD / 1 HRS MNTH / START 01/05/2021 3- 08/2024 / GYPSY ROAD HOLDINGS, LLC / Business Owner / NON INV RLTD / 2 HRS MNTH / START 1/01/2024 4- 08/2024 / GYPSY ROAD INDUSTRIAL, LLC / Business Owner / NON INV RLTD / 3 HRS MNTH / START 02/15/2024 5- 08/2024 / LORD & PHELPS / BUSINESS OWNER / NON INV RLTD / 80 HRS MNTH / 50 HRS DURING TRADING / START 11/02/2016 6- 08/2024 / WESTSIDE DEPOT, LLC / REAL ESTATE RENTAL / INV RLTD / 2 HRS MNTH / START 01/02/2023 7- 08/2024 / RE-LEAF INNOVATIONS, INC. / Business Entity For Tax/Investment Purposes Only / NON INV RLTD / START 05/01/2019 8 - 01/14/2025- J2X Legacy Advisors- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 11/01/2024- 80 Hours Per Month- 40 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-07-27
• S63 Uniform Securities Agent State Law Examination
  2000-10-06

Other Names

• Carie Phelps Estrada
• Carie Marie Phelps