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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

Khiem Thi Truong - Von Garvisch

Advisor at LPL ENTERPRISE, LLC

PANAMA CITY BEACH, FL | JACKSONVILLE, FL

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Search this name across graphsid dfx:ria:59847fb3-8cfc-cf51-908f-d7d08a52be16

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Oct 20, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL ENTERPRISE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 17, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 17, 1999
First registration: Oct 20, 1999
Dual registered: yes, broker-dealer
Other names: KHIEM Thi TRUONG|KHIEM T TRUONG|KHIEM THI TRUONG-VON GARVISCH|KHIEM T TRUONG-VON GARVISCH|Khiem T Truong - Von Garvisch
IAPD individual key: 3131311

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL ENTERPRISE, LLC	Bd affiliated wealth	Jun 11, 2026	n/a	yes	JACKSONVILLE, FL\|PANAMA CITY BEACH, FL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jan 16, 2025	Apr 13, 2026	no	MEMPHIS, TN\|Panama City Beach, FL\|WAVERLY, IA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 11, 2022	Jul 23, 2024	no	PANAMA CITY, FL	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 14, 2020	Jul 8, 2022	no	PANAMA CITY BEACH, FL\|PANAMA CITY BEACH, FL	Previous registration
BASELINE INVESTMENTS, LLC	State registered	Oct 7, 2019	Jul 21, 2020	no	SAN FRANCISCO, CA	Previous registration
NPB FINANCIAL GROUP, LLC	Former SEC adviser	Jun 25, 2019	Jun 29, 2020	no	Las Vegas, NV	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Feb 23, 2017	Nov 16, 2017	no	WALNUT CREEK, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 26, 2013	Jan 6, 2017	no	SANTA CLARA, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|FREMONT, CA\|SAN JOSE, CA\|SANTA CLARA, CA	Previous registration
AMERICAN CENTURY ADVISORY SERVICES, INC.	Former SEC adviser	Jul 18, 2011	Oct 30, 2012	no	MOUNTAIN VIEW, CA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 20, 1999	Mar 31, 2011	no	Fremont, CA\|Milpitas, CA\|SAN JOSE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	LPL ENTERPRISE, LLC	Apr 13, 2026	Jun 11, 2026	59	Channel change	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	LPL FINANCIAL LLC	Jul 23, 2024	Jan 16, 2025	177	Firm change	Wirehouse to ibd
CETERA INVESTMENT ADVISERS LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 8, 2022	Jul 11, 2022	3	Firm change	Ibd to wirehouse
BASELINE INVESTMENTS, LLC	CETERA INVESTMENT ADVISERS LLC	Jul 21, 2020	Aug 14, 2020	24	Firm change	Other
NPB FINANCIAL GROUP, LLC	BASELINE INVESTMENTS, LLC	Jun 29, 2020	Oct 7, 2019	-266	Firm change after gap	RIA to state RIA
STRATEGIC ADVISERS LLC	NPB FINANCIAL GROUP, LLC	Nov 16, 2017	Jun 25, 2019	586	Firm change after gap	Ibd to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	STRATEGIC ADVISERS LLC	Jan 6, 2017	Feb 23, 2017	48	Firm change	Wirehouse to ibd
AMERICAN CENTURY ADVISORY SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 30, 2012	Feb 26, 2013	119	Firm change	Other
CHARLES SCHWAB & CO., INC.	AMERICAN CENTURY ADVISORY SERVICES, INC.	Mar 31, 2011	Jul 18, 2011	109	Firm change	Ibd to new firm

Relationships

Registered with (9)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Jun 11, 2026 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jan 16, 2025 to Apr 13, 2026factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 11, 2022 to Jul 23, 2024factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Aug 14, 2020 to Jul 8, 2022factForm ADV
→ BASELINE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Oct 7, 2019 to Jul 21, 2020factForm ADV
→ NPB FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Jun 25, 2019 to Jun 29, 2020factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Feb 23, 2017 to Nov 16, 2017factForm ADV
→ AMERICAN CENTURY ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 18, 2011 to Oct 30, 2012factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 20, 1999 to Mar 31, 2011factForm ADV

Dated events

Occurred
Jul 23, 2024
Advisor changed firm
Khiem Thi Truong - Von Garvisch left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Lpl Financial Llc (registered 2025-01-16)
Form ADVobserved 4 days ago
Occurred
Jul 8, 2022
Advisor changed firm
Khiem Thi Truong - Von Garvisch left Cetera Investment Advisers Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-07-11)
Form ADVobserved 4 days ago