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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Knoxville-Area Financial Planners Ranked by Number of Certified Financial Planners, then Employment
Rank
'16
'15CompanyPhone
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
11Merrill 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
27UBS 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
35Rather & 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
46Morgan 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
53Wells 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
64Patriot 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
78Securities 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
810The 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
912Meridian 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
10NRFidelity 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
119Visionary 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
1113PYA 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
1314Imbrey & Associates, CERTIFIED FINANCIAL PLANNERâ„¢ 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
14NRAsset 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
1515Northwestern 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
1617Phillips 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
1716Hilliard 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
1818Quality 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.

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