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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 Investment Brokerage Firms Ranked by Registered Representatives, Then Employment Rank '19 '18 Firm Phone Website Offices: loc./tot. Registered reps. Local employees % Private clients % Instit. clients Online brokerage? Parent company Top local executive Founded locally 1 1 Merrill Lynch 800 S. Gay St., Ste. 2200 Knoxville, TN 37929 865-521-8800 ml.com 1/NA 35 46 NA NA Yes Bank of America Charlotte, NC James L. Cagle Senior VP, wealth management 1972 2 2 Wells Fargo Advisors 265 Brookview Centre Way, Ste. 100 Knoxville, TN 37919 865-560-2600 wellsfargoadvisors.com 2/NA 28 36 NA NA NA Wells Fargo Advisors St. Louis, MO Ken Hayes Branch manager, first VP, investments 1995 3 3 UBS Global Wealth Management 800 S. Gay St., Ste. 2600 Knoxville, TN 37929 865-522-5183 ubs.com/branch/knoxvilleka 2/NA 24 44 NA NA Yes1 UBS Financial Services Zurich/Basel, Switzerland Chris Cannon Branch manager 19432 4 5 Securities Service Network 9729 Cogdill Road, Ste. 301 Knoxville, TN 37932 865-777-4677 ssnetwork.com NA/NA 22 63 NA NA NA Advisor Group Phoenix, AZ Wade Wilkinson President, CEO 1983 5 4 Raymond James & Associates 11400 Parkside Drive, Ste. 200 Knoxville, TN 37934 865-777-5800 raymondjames.com/knoxvillewealthmanagment 1/2 20 32 100% NA No Raymond James Financial St. Petersburg, FL Joe E. Thompson Managing director 1984 6 6 FTB Advisors 800 S. Gay St. Knoxville, TN 37929 865-971-2100 firsttennessee.com 14/60 15 30 40% 10% Yes First Horizon National Corp. Memphis, TN Harold Robertson Senior VP, Managing director 1982 7 7 Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934 865-288-1796 fidelity.com 1/197 14 14 NA NA NA Fidelity Investments Boston, MA Joseph Siragusa Vice president, branch manager 2010 8 9 Tennesssee Valley Asset Management Partners 6025 Brookvale Lane,Suite 160 Knoxville, TN 37919 865-226-9982 tvamp.net 5/5 12 21 95% 5% No NA NA Jeff Foster Scott Fisher Jeff Sweat Senior partner, CFPs 2011 9 8 SageView Advisory Group 1111 N. Northshore Drive, Ste. N-325 Knoxville, TN 37919 865-293-4051 sageviewadvisory.com 1/NA 11 34 NA NA NA SageView Advisory Group Newport Beach, CA Doug Webster John Majors Ryan Manaker Sean King Managing director Managing director Wealth manager Managing director 2005 10 12 Pinnacle Asset Management 1111 Northshore Drive, Ste. 130 Knoxville, TN 37919 865-766-3000 pnfp.com 2/63 5 7 95% 5% Yes Pinnacle Financial Partners Nashville, TN Mike DiStefano Knoxville president 2007 11 13 Charles Schwab & Co. 10114 Parkside Drive, Ste. 102 Knoxville, TN 37922 865-675-1762 schwab.com 1/365 5 6 100% 0% Yes The Charles Schwab Corp. San Francisco, CA Timothy Kirch Branch manager, Knoxville 1997 12 11 Vantage Point Financial Planning 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 www.vantagepointfinancialplanning.com 2/2 4 10 100% 0% Yes Ameriprise Financial Services Minneapolis, MN Phillip Jones CFP, APMA, BFA 1996 13 15 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com NA/NA 3 21 NA NA NA NA NA Lytle Rather President 2000 14 14 Quality Financial Concepts 115 W. Broadway Ave. Maryville, TN 37801 865-984-3550 qualityfinancial.com 1/1 3 10 100% 0% Yes NA NA Doug Horn M. Shane Smith CFP, owner, founder; M.Shane Smith, CFP CFP 2001 15 16 Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com 2/5 2 4 95% 5% Yes Visionary Horizons, LLC Knoxville, TN Roger Kiger CEO 2008 1 Full service firm, offers online options; 2 In local market. UBS parent company founded in 1862; 3 6 offices in Knoxville & Maryville; 114 firm-wide in TN, NC, SC, and VA Source: Individual company representatives, company websites. NA=not applicable or not available.If you notice an error or omission, please contact Hayley Choy at 865-342-6494 or lists@knoxvillebiz.com.