The Book of Lists is your resource to stay ahead of the competition. Get in-depth information on the largest and most influential businesses in East Tennessee. It is your instant reference tool for finding a company's top local executive, background on a specific industry, and much more. Create a list of sales contacts and general mailings lists, sort by company or geography, and import data directly to your desktop. Start your download now. Any questions, contact Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.

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Prefer PDFs? A printer-friendly PDF of this list is available. Download PDF file Prefer Excel? A complete spreadsheet of this list is available. Download Excel file Knoxville-Area Financial Planners Ranked by Number of Certified Financial Planners, then Employment Rank '16 '15 Company Phone Website Local offices Parent co. Parent HQ Local CFPs/Ttl. empl. Assets under local mgt. No. of clients % indiv./ corp. clients % fee-based/comm./fee-only Brokerage used Top local executive Founded locally 1 1 Merrill Lynch 800 S. Gay St., Ste. 2200 Knoxville, TN 37929 865-521-8800 ml.com NA Bank of America Charlotte, NC 10 / 42 NA NA NA / NA NA/NA / NA Merrill Lynch James L. Cagle Senior vice president, wealth management 1972 2 7 UBS Financial Services 800 S. Gay St., Ste. 2600 Knoxville, TN 37929 865-522-5183 ubs.com/branch/knoxvilleka 2 UBS Financial Services Zurich/Basel, Switzerland 7 / 25 NA NA NA / NA NA/NA / NA NA James Carideo Branch manager 1943 3 5 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com 1 NA NA 7 / 19 $438,242,401 NA 65% / 35% 90%/10% / NA Fidelity Investments Lytle Rather President 2000 4 6 Morgan Stanley 1111 Northshore Drive Knoxville, TN 37919 865-558-9000 morganstanley.com 1 Morgan Stanley New York, NY 6 / 52 NA NA 90% / 10% 78%/22% / NA Morgan Stanley David Elias Senior vice president, branch manager 1981 5 3 Wells Fargo Advisors 265 Brookview Centre Way, Ste. 100 Knoxville, TN 37919 865-560-2600 wellsfargoadvisors.com 2 Wells Fargo Advisors St. Louis, MO 6 / 41 NA NA 85% / 15% 60%/40% / NA Wells Fargo Advisors Charles Schilleci1 P.J. Smith Branch managers 1995 6 4 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com 1 NA NA 6 / 19 $644,912,000 NA NA / NA NA/NA / 100% Charles Schwab & Co. Brad Bower President 1993 7 8 Securities Service Network 9729 Cogdill Road, Ste. 301 Knoxville, TN 37932 865-777-4677 ssnetwork.com 12 Ladenburg Thalmann Financial Services Miami, FL 5 / 60 $460,000,000 6,617 100% / 0% 47%/53% / NA NA Wade Wilkinson President, CEO 1983 8 10 The Trust Company 4823 Old Kingston Pike, Ste. 100 Knoxville, TN 37919 865-971-1902 thetrust.com NA NA NA 4 / 66 $2,600,000,000 NA 55% / 45% 100%/NA / NA NA Sharon Miller Pryse Chairman, CEO 1987 9 12 Meridian Trust & Investment Co. 109 N. Northshore Drive Knoxville, TN 37919 865-342-4400 trustmeridian.com 1 NA NA 4 / 17 $586,240,000 654 50% / 50% 100%/NA / NA NA Tom Coulter President 1997 10 NR Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934 865-288-1796 fidelity.com 1 Fidelity Investments Boston, MA 3 / 12 NA NA NA / NA NA/NA / NA NA John Akeroyd Vice president, branch office manager 2010 11 9 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com 3 Visionary Horizons Wealth Management Knoxville, TN 3 / 9 $140,000,000 250 185% / 15% 85%/15% / NA Schwab Institutional, TD Ameritrade Roger Kiger Chief manager2 2008 11 13 PYA Waltman Capital 2076 Lakeside Centre Way Knoxville, TN 37922 865-693-6301 pyawaltman.com 1 NA NA 3 / 9 $499,000,000 NA NA / NA NA/NA / 100% Various J. William Waltman, Jr. President 2005 13 14 Imbrey & Associates, CERTIFIED FINANCIAL PLANNER™ professionals 1322 Dowell Springs Blvd. Knoxville, TN 37909 865-588-9333 ImbreyandAssociates.com 1 AXA Advisors New York, NY 3 / 8 $392,000,000 990 75% / 25% 65%/30% / 5% Linsco Private Ledger / AXA Advisors Jacki S. Imbrey3 Richard M. Imbrey4 David H. Jeffries4 General Partner 1983 14 NR Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 865-690-1231 AssetPlanningCorp.com 1 NA NA 3 / 6 $175,000,000 175 95% / 5% 100%/0% / NA Charles Schwab & Co. Paul K. Fain President 1975 15 15 Northwestern Mutual - Knoxville 110 Triplett Lane Knoxville, TN 37922 865-251-5100 nm-knoxville.com 1 Northwestern Mutual Milwaukee, WI 2 / 35 $2,000,000,000 7,500 75% / 25% 30%/65% / 5% Northwestern Mutual Investment Services Kevin S. Proffitt Managing director5 1857 16 17 Phillips Jones Wealth Management 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 phillipsjoneswealthmanagement.com 2 Ameriprise Financial Services Minneapolis, MN 2 / 16 NA NA 80% / 20% 80%/10% / 10% NA Steven A. Phillips CFP, MBA, CLU, AEP 1996 17 16 Hilliard Lyons 8862 Cedar Springs Lane Knoxville, TN 37923 865-470-8444 hilliard.com NA J.J. B. Hilliard, W.L. Lyons Louisville, KY 2 / 14 NA NA 98% / 2% 35%/65% / NA Self Clearing Brian Donaldson Senior vice president 1854 18 18 Quality Financial Concepts 115 W. Broadway Ave. Maryville, TN 37801 865-984-3550 qualityfinancial.com 1 NA NA 2 / 8 $74,138,000 469 95% / 5% 55%/45% / NA TD Ameritrade, Pershing Doug Horn M. Shane Smith CFP, owner, founder CFP 2001 1 CFP RICP; 2 Wealth strategist; 3 General partner; 4 Partner; 5 Wealth management advisor Source: Individual company representatives, individual company websites. NA=not applicable or not available. Area includes Anderson, Blount, Campbell, Claiborne, Cocke, Grainger, Greene, Hamblen, Hancock, Hawkins, Jefferson, Knox, Loudon, McMinn, Meigs, Monroe, Morgan, Roane, Scott, Sevier and Union counties. This list and other Knoxville-area market data are available as an Excel spreadsheet at www.knoxvillebiz.com. If you notice an error or omission, please contact Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.