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 Investment Brokerage Firms Ranked by Registered Representatives, Then Employment
Rank
'16
'15FirmPhone
Website
Offices: loc./tot.
Registered reps.
Local employees
% Private clients
% Instit. clients
Online brokerage?
Parent companyTop local executive
Founded locally
15Merrill Lynch
800 S. Gay St., Ste. 2200
Knoxville, TN 37929
865-521-8800
ml.com
NA/NA
32
42
NA
NA
Yes
Bank of America
Charlotte, NC
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/NA
30
42
NA
NA
NA
UBS Financial Services
Zurich/Basel, Switzerland
James Carideo
Branch manager
1943
36Morgan Stanley
1111 Northshore Drive
Knoxville, TN 37919
865-558-9000
morganstanley.com
1/540
29
50
90%
10%
Yes
Morgan Stanley
New York, NY
David Elias
Senior vice president, branch manager
1981
43Raymond James & Associates
11400 Parkside Drive, Ste. 200
Knoxville, TN 37934
865-777-5800
raymondjames.com/knoxvillewealthmanagment
1/NA
26
43
100%
NA
No
Raymond James Financial
St. Petersburg, FL
Joe Thompson
Branch manager
1984
54Wells Fargo Advisors
265 Brookview Centre Way, Ste. 100
Knoxville, TN 37919
865-560-2600
wellsfargoadvisors.com
2/NA
26
36
NA
NA
Yes
Wells Fargo Advisors
St. Louis, MO
Charles Schilleci1
P.J. Smith
Branch managers
1995
62Securities Service Network
9729 Cogdill Road, Ste. 301
Knoxville, TN 37932
865-777-4677
ssnetwork.com
NA/NA
25
60
NA
NA
NA
Ladenburg Thalmann Financial Services
Miami, FL
Wade Wilkinson
President, CEO
1983
78FTB Advisors
800 S. Gay St.
Knoxville, TN 37929
865-971-2100
firsttennessee.com
7/26
19
37
90%
10%
Yes
First Horizon National Corp.
Memphis, TN
Harold Robertson
Senior vice president 2
1982
811Capital Financial Group
1225 Weisgarber Road, Ste. 180
Knoxville, TN 37909
865-246-1680
capitalfinancialgroup.net
3/10
18
27
60%
40%
NA
Capital Financial Group
Brentwood, TN
Jim Hutchison
Bavy Lopez
Partners
1998
910Fidelity Investments
11513 Parkside Drive
Knoxville, TN 37934
865-288-1796
fidelity.com
1/NA
13
13
NA
NA
NA
Fidelity Investments
Boston, MA
John Akeroyd
Vice president, branch office manager
2010
1014SageView Advisory Group
1111 N. Northshore Drive, Ste. N-325
Knoxville, TN 37919
865-293-4051
sageviewadvisory.com
1/NA
11
27
NA
NA
NA
SAGEVIEW
Irvine, CA
Sean King
Managing director
2005
1112Hilliard Lyons
8862 Cedar Springs Lane
Knoxville, TN 37923
865-470-8444
hilliard.com
1/NA
10
15
NA
NA
No
J.J. B. Hilliard, W.L. Lyons
Louisville, KY
Brian Donaldson
Senior vice president
1854
12NRSlate Disharoon, Parrish & Associates
9724 Kingston Pike, Ste. 701
Knoxville, TN 37922
865-357-7373
sdp-planning.com
2/2
8
3
100%
NA
No
NA
NA
NA
NA
2007
1315Phillips Jones Wealth Management
4509 Papermill Drive
Knoxville, TN 37909
865-212-2376
phillipsjoneswealthmanagement.com
2/2
7
14
NA
NA
Yes
Ameriprise Financial Services
Minneapolis, MN
Steven Phillips
CFP, MBA, CLU, AEP
1996
1413TrustFirst
265 Brookview Centre Way, Ste. 504
Knoxville, TN 37919
865-583-7390
trustfirst.com
1/2
6
9
100%
0%
Yes
NA
NA
Donald Taylor
President
1995
1517Charles Schwab & Co.
10114 Parkside Drive, Ste. 102
Knoxville, TN 37922
865-675-1762
schwab.com
1/330
5
6
100%
NA
Yes
The Charles Schwab Corp.
San Francisco, CA
Brian Edkin
Branch manager, Knoxville
1997
16NRPinnacle Asset Management
1111 Northshore Drive, Ste. 130
Knoxville, TN 37919
865-766-3000
pnfp.com
7/45
4
104
NA
NA
No
Pinnacle Financial Partners
Nashville, TN
Mike DiStefano
Knoxville president
2007
1716Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
1/1
4
18
NA
NA
No
NA
NA
Lytle Rather
President
2000
1818Quality Financial Concepts
115 W. Broadway Ave.
Maryville, TN 37801
865-984-3550
qualityfinancial.com
1/1
3
8
98%
2%
Yes
NA
NA
Doug Horn
M. Shane Smith
CFP, owner, founder
CFP
2001
1819Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
3/5
3
8
100%
NA
NA
Visionary Horizons Wealth Management
Knoxville, TN
Roger Kiger
Chief manager3
2008
1 CFP RICP; 2 Regional director, wealth management; 3 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.

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