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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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 '16 '15 Firm Phone Website Offices: loc./tot. Registered reps. Local employees % Private clients % Instit. clients Online brokerage? Parent company Top local executive Founded locally 1 5 Merrill 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 2 7 UBS 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 Chris Cannon Branch managers 19431 3 6 Morgan 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 4 3 Raymond 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 5 4 Wells 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 Schilleci2 P.J. Smith Ken Hayes Branch manager Branch manager Branch manager, vice president - investments 1995 6 2 Securities 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 7 8 FTB 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 3 1982 8 11 Capital 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 9 10 Fidelity 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 10 14 SageView 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 11 12 Hilliard 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 12 NR Slate 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 13 15 Phillips 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 14 13 TrustFirst 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 15 17 Charles 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 16 NR Pinnacle 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 17 16 Rather & 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 18 18 Quality 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 18 19 Visionary 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 manager4 2008 1 In local market. UBS itself founded in 1862; 2 CFP RICP; 3 Regional director, wealth management; 4 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.