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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 '20 '19 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 2 Merrill Lynch 800 S. Gay St., Ste. 2200 Knoxville, TN 37929 865-521-8800 ml.com 2 Bank of America Charlotte, NC 13 / 47 NA NA NA / NA NA/NA / NA Merrill Lynch James L. Cagle Senior VP, Wealth management 1972 2 1 UBS Global Wealth Management 800 S. Gay St., Ste. 2600 Knoxville, TN 37929 865-522-5183 ubs.com/branch/knoxvilleka 2 UBS Financial Services Zurich/Basel, Switzerland 11 / 47 $3,240,000,000 NA NA / NA 65%/35% / NA NA Chris L. Cannon Branch manager 19431 3 7 The Trust Company of Tennessee 4823 Old Kingston Pike, Ste. 100 Knoxville, TN 37919 865-971-1902 thetrust.com NA NA NA 9 / 80 NA NA NA / NA 100%/NA / NA NA Sharon Pryse Daniel Carter Chairman, CEO President 1987 4 3 Waypoint Financial Partners, LLC2 1322 Dowell Springs Blvd. Knoxville, TN 37909 865-588-9333 imbreyandassociates.com 6 Equitable Advisors AXA Advisors New York, NY New York, NY 8 / 34 $1,168,000,000 2,000 75% / 25% 65%/30% / 5% Linsco Private Ledger / Equitable Advisors Jacki S. Imbrey Richard M. Imbrey David H. Jeffries Eric R. Theiss Partner Partner Partner Associate 1983 5 4 Patriot Investment Management 9721 Cogdill Road, Ste. 101 Knoxville, TN 37932 865-777-2479 patriotinvestment.com 1 NA NA 8 / 24 $1,078,001,643 1,596 80% / 20% NA/NA / 100% Charles Schwab & Co. Brad Bower President 1993 6 6 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com NA NA NA 8 / 22 $878,694,418 NA 65% / 35% 95%/5% / NA Fidelity Investments Lytle Rather President 2000 7 5 Securities Service Network 9729 Cogdill Road, Ste. 301 Knoxville, TN 37932 865-777-4677 ssnetwork.com NA Advisor Group Phoenix, AZ 5 / 65 NA NA 100% / 0% 55%/45% / NA NA Wade Wilkinson President, CEO 1983 8 8 Wells Fargo Advisors 265 Brookview Centre Way, Ste. 100 Knoxville, TN 37919 865-560-2600 wellsfargoadvisors.com NA Wells Fargo Advisors St. Louis, MO 5 / 35 NA NA 85% / 15% 70%/30% / NA Wells Fargo Advisors Ken E. Hayes Branch manager, First VP, Investments 1995 9 13 Tennessee Valley Asset Management Partners 6025 Brookvale Lane, Ste. 160 Knoxville, TN 37919 865-226-9982 tvamp.net NA NA NA 5 / 22 NA NA NA / NA NA/NA / NA LPL Financial Jeff Foster Scott Fisher Jeff Sweat CCO, CFP Wealth advisor MBA 2012 10 9 Meridian Trust & Investment Co. 109 S. Northshore Drive Knoxville, TN 37919 865-342-4400 trustmeridian.com 1 NA NA 4 / 17 $750,000,000 NA 50% / 50% 100%/NA / NA NA Tom Coulter President 1997 11 10 Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934 865-288-1796 fidelity.com 1 Fidelity Investments Boston, MA 4 / 15 NA NA NA / NA NA/NA / NA Fidelity Investments Joseph Siragusa Vice president, Branch manager 2010 12 11 PYA Waltman Capital, LLC 1402 Ebenezer Road Knoxville, TN 37922 865-693-6301 pyawaltman.com 1 NA NA 4 / 13 $754,600,000 NA NA / NA NA/NA / 100% Various J. William Waltman, Jr. Melissa Ballard President Director of financial planning services 2005 13 17 Northwestern Mutual - Knoxville 110 Triplett Lane Knoxville, TN 37922 865-251-5100 nm-knoxville.com 1 Northwestern Mutual Milwaukee, WI 3 / 43 $1,200,000,000 8,000 75% / 25% 50%/47% / 3% Northwestern Mutual Wealth Management Company Kevin S. Proffitt CFP, ChFC, CASL, RICP, CLU 1857 14 14 Phillips Jones Wealth Management 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 phillipsjoneswealthmanagement.com 2 Ameriprise Financial Services Minneapolis, MN 3 / 10 $230,000,000 900 90% / 10% 80%/10% / 10% Ameriprise Financial Phillip B. Jones CFP, APMA 1996 15 15 The Nalls Sherbakoff Group 9724 Kingston Pike Knoxville, TN 37922 865-691-0898 nallssherbakoff.com 1 NA NA 3 / 6 $236,100,000 345 91% / 9% NA/NA / 100% Charles Schwab & Co Donald E. Nalls T. Lee Sherbakoff Partner Managing partner 2014 15 15 Asset Planning Corporation 234 S. Peters Road, Ste. 102 Knoxville, TN 37923 888-690-1231 assetplanningcorp.com 1 NA NA 3 / 6 $226,250,528 199 97% / 3% 0%/0% / 100% Charles Schwab & Co. Paul K. Fain President, CFP 1975 15 12 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com 2 Visionary Horizons, LLC Knoxville, TN 3 / 6 $145,000,000 250 90% / 10% 90%/5% / 5% Schwab Institutional, TD Ameritrade Roger Kiger CEO 2008 1 In local market. UBS parent company founded in 1862; 2 Formerly Imbrey & Associates 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 Hayley Choy at 865-342-6494 or lists@knoxvillebiz.com.