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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 '17 '16 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 NA/NA 32 44 NA NA NA Bank of America Charlotte, NC James L. Cagle Senior vice president, wealth management 1972 2 5 Wells Fargo Advisors 265 Brookview Centre Way, Ste. 100 Knoxville, TN 37919 865-560-2600 wellsfargoadvisors.com 2/NA 29 37 NA NA NA Wells Fargo Advisors St. Louis, MO Ken Hayes Branch manager, first vice president - investments 1995 3 2 UBS Global Wealth Management 800 S. Gay St., Ste. 2600 Knoxville, TN 37929 865-522-5183 ubs.com/branch/knoxvilleka 2/NA 28 43 NA NA No UBS Financial Services Zurich/Basel, Switzerland Chris Cannon Branch manager 19431 4 7 FTB Advisors 800 S. Gay St. Knoxville, TN 37929 865-971-2100 firsttennessee.com 15/NA 23 56 90% 10% Yes First Horizon National Corp. Memphis, TN Harold Robertson Senior vice president, managing director 1982 5 4 Raymond James & Associates 11400 Parkside Drive, Ste. 200 Knoxville, TN 37934 865-777-5800 raymondjames.com/knoxvillewealthmanagment 1/2 23 33 90% 10% Yes Raymond James Financial St. Petersburg, FL Joe Thompson Branch manager 1984 6 6 Securities Service Network 9729 Cogdill Road, Ste. 301 Knoxville, TN 37932 865-777-4677 ssnetwork.com NA/NA 21 60 NA NA NA Ladenburg Thalmann Financial Services Miami, FL Wade Wilkinson President, CEO 1983 7 9 Fidelity Investments 11513 Parkside Drive Knoxville, TN 37934 865-288-1796 fidelity.com 1/207 13 13 NA NA NA Fidelity Investments Boston, MA John Akeroyd Vice president, branch office manager 2010 8 10 SageView Advisory Group 1111 N. Northshore Drive, Ste. N-325 Knoxville, TN 37919 865-293-4051 sageviewadvisory.com 1/NA 11 31 NA NA NA SAGEVIEW Irvine, CA Sean King Managing director 2005 9 11 Hilliard Lyons 8862 Cedar Springs Lane Knoxville, TN 37923 865-470-8444 hilliard.com 1/88 9 14 98% 2% No J.J. B. Hilliard, W.L. Lyons Louisville, KY Brian Donaldson Senior vice president 1854 10 13 Phillips Jones Wealth Management 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 phillipsjoneswealthmanagement.com 2/2 6 12 NA NA NA Ameriprise Financial Services Minneapolis, MN Steven Phillips CFP, MBA, CLU, AEP 1996 11 14 TrustFirst 265 Brookview Centre Way, Ste. 504 Knoxville, TN 37919 865-583-7390 trustfirst.com 1/2 6 9 100% NA Yes NA NA Donald Taylor President 1995 12 15 Charles Schwab & Co. 10114 Parkside Drive, Ste. 102 Knoxville, TN 37922 865-675-1762 schwab.com 1/340 5 6 100% NA Yes The Charles Schwab Corp. San Francisco, CA Timothy Kirch Branch manager, Knoxville 1997 13 18T Quality Financial Concepts 115 W. Broadway Ave. Maryville, TN 37801 865-984-3550 qualityfinancial.com 1/1 4 9 100% 0% Yes NA NA Doug Horn M. Shane Smith CFP, owner, founder CFP 2001 14 16 Pinnacle Asset Management 1111 Northshore Drive, Ste. 130 Knoxville, TN 37919 865-766-3000 pnfp.com 7/122 4 5 90% 10% No Pinnacle Financial Partners Nashville, TN Mike DiStefano Knoxville president 2007 15 17 Rather & Kittrell 11905 Kingston Pike Knoxville, TN 37934 865-218-8400 rkcapital.com 1/NA 3 19 NA NA NA NA NA Lytle Rather President 2000 16 18T Visionary Horizons Wealth Management 620 Mabry Hood Road, Ste. 102 Knoxville, TN 37932 865-675-8496 visionaryhorizons.com 2/3 2 7 90% 10% No Visionary Horizons Wealth Management Knoxville, TN Roger Kiger Chief manager2 2008 1 In local market. UBS parent company founded in 1862; 2 Wealth strategist Source: Individual company representatives, company websites. NA=not applicable or not available.If you notice an error or omission, please contact Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.