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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 L. 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 Ladenburg Thalmann Financial Services Miami, FL 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, Wealth advisors 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 Irvine, CA Sean King Doug Webster John Majors Ryan Manaker Managing directors 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 Phillips Jones Wealth Management 4509 Papermill Drive Knoxville, TN 37909 865-212-2376 phillipsjoneswealthmanagement.com 2/2 4 10 100% 0% Yes Ameriprise Financial Services Minneapolis, MN Steven Phillips CFP, MBA, CLU, AEP 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.