Sonia A. Goforth

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CRD#: 2544170

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sonia Ann Goforth, who also goes by Sonia Ann Hendricks, was a registered financial professional .

Sonia is a previously registered financial professional and started their career in finance in 1995. Sonia had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sonia Ann Hendricks

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)04/12/2017 - KENTUCKY PLANNING PARTNERS LLC - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 3/6/2017 - 40 hr/mth 2)04/12/2017 - AUTHOR - Lawrenceburg, KY - non-inv rel - start: 4/1/2015 - 40 hr/mth. 3)11/2/2017 - KPP Advisory Services LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 10/02/2017 - 40 Hours Per Month During Securities Trading - I provide investment advisory services through KPP Advisory Services LLC, an independent investment advisor firm. I started this business activity in 10/2017. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4)2/22/2019 - No Business Name - Investment Related - Home Based - Other-Corporate Coach - Registered Corporate Coach - Started 11/19/2018 - 20 Hours Per Month/0 During Securities Trading. 5)3/29/2023 - BL Publishing, LLC - Not Investment Related - Home Based - Other - BUSINESS OWNER - OWNER - Start Date - 02/01/2023 - 10 Hours Per Month/0 Hours During Securities Trading 6)7/12/23 - Dinsmore Compliance Services, LLC - Not Investment Related - Start 7/12/23 - 40 hours per month during securities trading,

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

October 9, 2017 - October 1, 2024

KPP ADVISORY SERVICES LLC

RIA

CRD#: 289507

Louisville, KY

Past

April 18, 2017 - February 27, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

April 17, 2017 - July 20, 2023

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

March 30, 2011 - April 21, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

LEXINGTON, KY

Past

July 1, 2003 - April 21, 2015

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

LEXINGTON, KY

Past

February 28, 2003 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 28, 1995 - September 16, 2002

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/29/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/5/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/31/1997

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/27/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/10/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/22/2008

General Securities Sales Supervisor - Options Module Examination

Current Firm

KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

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Contact information

Main Address

9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222

Mailing Address

Phone number

(502) 394-0400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A KPP ADVISORY SERVICES LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts	3,405
AUM (Assets Under Management)	$ 874,251,636

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Sonia A. Goforth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

KPP ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2011

Series 63

Date: 1/5/1996

SIE

Date: 10/1/2018

Series 3

Date: 3/31/1997

Series 7

Date: 11/27/1995

Series 10

Date: 2/10/2009

Series 9

Date: 12/22/2008

Current Firm

KPP ADVISORY SERVICES LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KPP ADVISORY SERVICES LLC

TRUST BUT VERIFY

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