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
'17		'16CompanyPhone
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 / 37
NA
NA
NA / NA
NA/NA / NA
Merrill Lynch
James L. Cagle
Senior vice president, wealth management
1972
22UBS 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
8 / 43
NA
NA
NA / NA
NA/NA / NA
NA
Chris Cannon
Branch manager
19431
33Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
NA
NA
NA
8 / 18
$503,771,104
NA
65% / 35%
90%/10% / NA
Fidelity Investments
Lytle Rather
President
2000
46Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
1
NA
NA
7 / 19
$760,785,132
NA
NA / NA
NA/NA / 100%
Charles Schwab & Co.
Brad Bower
President
1993
55Wells Fargo Advisors
265 Brookview Centre Way, Ste. 100
Knoxville, TN 37919
865-560-2600
wellsfargoadvisors.com
NA
Wells Fargo Advisors
St. Louis, MO
6 / 36
NA
NA
85% / 15%
70%/30% / NA
Wells Fargo Advisors
Ken E. Hayes
Branch manager, vice president - investments
1995
68The Trust Company of Knoxville
4823 Old Kingston Pike, Ste. 100
Knoxville, TN 37919
865-971-1902
thetrust.com
1
NA
NA
5 / 68
$2,600,000,000
NA
55% / 45%
100%/NA / NA
NA
Sharon Pryse
Chairman, CEO
1987
79Meridian Trust & Investment Co.
109 S. Northshore Drive
Knoxville, TN 37919
865-342-4400
trustmeridian.com
1
NA
NA
4 / 17
$618,000,000
652
50% / 50%
100%/NA / NA
NA
Tom Coulter
President
1997
8NRTennessee Valley Asset Management Partners
6025 Brookvale Lane, Ste. 160
Knoxville, TN 37919
865-226-9982
tvamp.net
NA
NA
NA
3 / 18
NA
NA
98% / 2%
70%/30% / NA
LPL Financial
Jeff Foster
Scott Fisher
Jeff Sweat
CCO, CFP
Wealth advisor
MBA
2012
910Fidelity Investments
11513 Parkside Drive
Knoxville, TN 37934
865-288-1796
fidelity.com
1
Fidelity Investments
Boston, MA
3 / 13
NA
NA
NA / NA
NA/NA / NA
Fidelity Investments
John Akeroyd
Vice president, branch office manager
2010
1011PYA Waltman Capital
2076 Lakeside Centre Way
Knoxville, TN 37922
865-693-6301
pyawaltman.com
1
NA
NA
3 / 9
$549,277,000
313
NA / NA
NA/NA / 100%
Various
J. William Waltman Jr.
President
2005
1112Imbrey & Associates, CERTIFIED FINANCIAL PLANNER™ professionals
1322 Dowell Springs Blvd.
Knoxville, TN 37909
865-588-9333
ImbreyandAssociates.com
1
AXA Advisors
New York, NY
3 / 6
$423,000,000
1,040
75% / 25%
65%/30% / 5%
Linsco Private Ledger / AXA Advisors
Jacki S. Imbrey2
Richard M. Imbrey3
David H. Jeffries3
General Partner
1983
12NRThe Nalls Sherbakoff Group
9724 Kingston Pike
Knoxville, TN 37922
865-691-0898
nallssherbakoff.com
1
NA
NA
3 / 4
NA
350
NA / NA
NA/NA / NA
NA
Donald E. Nalls
T. Lee Sherbakoff
Managing Partner
NA
1315Northwestern Mutual - Knoxville
110 Triplett Lane
Knoxville, TN 37922
865-251-5100
nm-knoxville.com
1
Northwestern Mutual
Milwaukee, WI
2 / 35
$1,100,000,000
8,000
75% / 25%
30%/65% / 5%
Northwestern Mutual Investment Services
Kevin S. Proffitt
Managing director4
1857
1416Phillips Jones Wealth Management
4509 Papermill Drive
Knoxville, TN 37909
865-212-2376
phillipsjoneswealthmanagement.com
NA
Ameriprise Financial Services
Minneapolis, MN
2 / 11
NA
NA
80% / 20%
80%/10% / 10%
NA
Steven A. Phillips
CFP, MBA, CLU, AEP
1996
1518Quality Financial Concepts
115 W. Broadway Ave.
Maryville, TN 37801
865-984-3550
qualityfinancial.com
1
NA
NA
2 / 8
NA
NA
95% / 5%
55%/45% / NA
TD Ameritrade, Pershing
Doug Horn
M. Shane Smith
CFP, owner, founder
CFP
2001
1613Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
888-690-1231
AssetPlanningCorp.com
1
NA
NA
2 / 7
$189,000,000
170
95% / 5%
100%/0% / NA
Charles Schwab & Co.
Paul K. Fain
President
1975
1614Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
3
Visionary Horizons Wealth Management
Knoxville, TN
2 / 7
$110,000
500
250% / 15%
85%/15% / NA
Schwab Institutional, TD Ameritrade
Roger Kiger
Chief manager5
2008
1 In local market. UBS parent company founded in 1862; 2 General partner; 3 Partner; 4 Wealth management advisor; 5 Wealth strategist
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.