Khiem T. Truong - Von Garvisch

LPL ENTERPRISE

JACKSONVILLE, FL 32207

CRD#: 3131311

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Professional summary

Khiem Thi Truong - Von Garvisch, who also goes by Khiem T Truong, Khiem Thi Truong, Khiem T Truong-von Garvisch, Khiem Thi Truong-von Garvisch, Khiem T Truong - Von Garvisch, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Jacksonville, Florida.

Khiem is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Khiem has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Khiem T Truong | Khiem Thi Truong | Khiem T Truong-Von Garvisch | Khiem Thi Truong-Von Garvisch | Khiem T Truong - Von Garvisch

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Khiem Thi Truong - Von Garvisch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Khiem Thi Truong - Von Garvisch's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 11, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 701 San Marco Blvd Suite 7100, Jacksonville, FL 32207

RIA

CRD#: 8733

JACKSONVILLE, FL

Current

June 10, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 701 San Marco Blvd Suite 7100, Jacksonville, FL 32207

RIA

CRD#: 8733

JACKSONVILLE, FL

Past

January 16, 2025 - April 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

MEMPHIS, TN

Past

January 16, 2025 - April 13, 2026

LPL FINANCIAL LLC

CRD#: 6413

MEMPHIS, TN

Past

July 11, 2022 - July 23, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PANAMA CITY, FL

Past

July 7, 2022 - July 23, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PANAMA CITY, FL

Past

August 14, 2020 - July 8, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PANAMA CITY BEACH, FL

Past

July 20, 2020 - July 8, 2022

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ORLANDO, FL

Past

October 7, 2019 - July 21, 2020

BASELINE INVESTMENTS, LLC

RIA

CRD#: 296898

LAS VEGAS, NV

Past

June 25, 2019 - June 29, 2020

NPB FINANCIAL GROUP, LLC

RIA

CRD#: 137743

Las Vegas, NV

Past

June 25, 2019 - June 29, 2020

NPB FINANCIAL GROUP, LLC

CRD#: 137743

Las Vegas, NV

Past

February 23, 2017 - November 16, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WALNUT CREEK, CA

Past

February 15, 2017 - November 15, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WALNUT CREEK, CA

Past

February 26, 2013 - January 6, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SANTA CLARA, CA

Past

February 26, 2013 - January 6, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SANTA CLARA, CA

Past

July 20, 2011 - October 30, 2012

AMERICAN CENTURY BROKERAGE, INC.

CRD#: 42846

MOUNTAIN VIEW, CA

Past

July 18, 2011 - October 30, 2012

AMERICAN CENTURY ADVISORY SERVICES, INC.

RIA

CRD#: 121974

MOUNTAIN VIEW, CA

Past

July 18, 2011 - October 30, 2012

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

MOUNTAIN VIEW, CA

Past

October 20, 1999 - March 31, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN JOSE, CA

Past

March 11, 1999 - March 31, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN JOSE, CA

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(6/10/2026)

IAR

Florida
(6/11/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Khiem T. Truong - Von Garvisch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Khiem Thi Truong - Von Garvisch's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Khiem Thi Truong - Von Garvisch's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

BASELINE INVESTMENTS, LLC

NPB FINANCIAL GROUP, LLC

NPB FINANCIAL GROUP, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERICAN CENTURY BROKERAGE, INC.

AMERICAN CENTURY ADVISORY SERVICES, INC.

AMERICAN CENTURY INVESTMENT SERVICES INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1999

Series 63

Date: 3/17/1999

SIE

Date: 11/15/2017

Series 7

Date: 3/9/1999

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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