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 Financial Planners Ranked by Number of Certified Financial Planners, then Employment
Rank
'15
'14CompanyPhone
Website
Local offices
Parent co.
Parent HQ
Local CFPs/Ttl. empl.
Assets under local mgt.
No. of clients
% indiv./ corp. clients
% fee-based/comm./fee-only
Brokerage used
Top local executive
Founded locally
11Merrill Lynch
800 S. Gay St., Ste. 2200
Knoxville, TN 37929
865-521-8800
ml.com
2
Bank of America
Charlotte, NC
10 / 26
NA
NA
NA / NA
NA/NA / NA
Merrill Lynch
James L. Cagle
SVP, wealth management
1972
2NREdward Jones
137 West End Ave.
Farragut, TN 37934
865-671-4613
edwardjones.com
70
Edward Jones & Co.
St. Louis, MO
7 / 140
$3,300,000,000
17,000
NA / NA
NA/NA / NA
NA
Jim Dickerson
Regional leader
1980
33Wells Fargo Advisors
265 Brookview Centre Way, Ste. 100
Knoxville, TN 37919
865-560-2600
wellsfargoadvisors.com
2
Wells Fargo Advisors
St. Louis, MO
7 / 48
NA
NA
85% / 15%
60%/40% / NA
Wells Fargo Advisors
Charles J. Schilleci
Crampton Helms
Branch manager, SVP
Branch manager
1995
42Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
1
NA
NA
7 / 24
$638,194,395
NA
NA / NA
NA/NA / 100%
Charles Schwab & Co.
Brad Bower
President
1993
56Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
1
NA
NA
7 / 16
NA
NA
65% / 35%
90%/10% / NA
Fidelity Investments
Lytle Rather
President
2000
65Morgan Stanley
1111 Northshore Drive
Knoxville, TN 37919
865-558-9000
morganstanley.com
1
Morgan Stanley
New York, NY
6 / 50
NA
NA
90% / 10%
78%/22% / NA
Morgan Stanley
David Elias
First VP, branch manager
1981
74UBS Financial Services
800 S. Gay St.
Knoxville, TN 37929
865-522-5183
ubs.com/branch/knoxvilleka
2
UBS Financial Services
Zurich/Basel, Switzerland
6 / 40
NA
NA
NA / NA
NA/NA / NA
NA
James Carideo
Branch manager
1943
8NRSecurities Service Network
9729 Cogdill Road, Ste. 301
Knoxville, TN 37932
865-777-4677
ssnetwork.com
12
Ladenburg Thalmann Financial Services
Miami, FL
5 / 59
$432,000,000
6,421
100% / NA
43%/57% / NA
NA
Wade Wilkinson
President, CEO
1983
98Visionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
2
Visionary Horizons Wealth Management
Knoxville, TN
4 / 7
$147,000,000
200
85% / 15%
85%/15% / NA
Schwab Institutional, TD Ameritrade
Roger Kiger
Chief manager1
2008
107The Trust Company
4823 Old Kingston Pike, Ste. 100
Knoxville, TN 37919
865-971-1902
thetrust.com
NA
NA
NA
3 / 60
$2,500,000,000
NA
55% / 45%
100%/NA / NA
NA
Sharon Miller Pryse
President, CEO2
1987
119Regions Private Wealth Management
151 Major Reynolds Place
Knoxville, TN 37919
877-887-8222
regions.com
1
Regions Bank
Birmingham, AL
3 / 20
$1,000,000,000
NA
75% / 25%
100%/0% / NA
NA
Sam Albritton
Executive vice president
1999
1210Meridian Trust & Investment Co.
109 N. Northshore Drive
Knoxville, TN 37919
865-342-4400
trustmeridian.com
1
NA
NA
3 / 18
$615,000,000
600
50% / 50%
100%/NA / NA
NA
Tom Coulter
President
1997
13NRPYA Waltman Capital
2076 Lakeside Centre Way
Knoxville, TN 37922
865-693-6301
pyawaltman.com
1
NA
NA
3 / 9
$475,230,000
NA
NA / NA
100%/NA / NA
Various
J. William Waltman Jr.
President
2005
1412Imbrey & Associates, CERTIFIED FINANCIAL PLANNERâ„¢ professionals
1322 Dowell Springs Blvd.
Knoxville, TN 37909
865-588-9333
ImbreyandAssociates.com
1
AXA Advisors
New York, NY
3 / 6
$411,000,000
940
75% / 25%
65%/30% / 5%
Linsco Private Ledger / AXA Advisors
Jacki S. Imbrey3
Richard M. Imbrey4
David H. Jeffries4
General Partner
1983
1514Northwestern Mutual - Knoxville
110 Triplett Lane
Knoxville, TN 37922
865-251-5100
nm-knoxville.com
1
Northwestern Mutual
Milwaukee, WI
2 / 38
$2,600,000,000
3,764
75% / 25%
30%/65% / 5%
Northwestern Mutual Investment Services
Kevin S. Proffitt
Managing director5
1857
1615Hilliard Lyons
8862 Cedar Springs Lane
Knoxville, TN 37923
865-470-8444
hilliard.com
1
J.J. B. Hilliard, W.L. Lyons
Louisville, KY
2 / 17
NA
NA
98% / 2%
35%/65% / NA
Self Clearing
Brian Donaldson
Sr. vice president
1854
1717Phillips Jones Wealth Management
4509 Papermill Drive
Knoxville, TN 37909
865-212-2376
phillipsjoneswealthmanagement.com
2
Ameriprise Financial Services
Minneapolis, MN
2 / 15
NA
NA
80% / 20%
80%/10% / 10%
NA
Steven A. Phillips
CFP
1996
1819Quality Financial Concepts
115 W. Broadway Ave.
Maryville, TN 37801
865-984-3550
qualityfinancial.com
1
NA
NA
2 / 8
$65,000,000
364
95% / 5%
55%/45% / NA
TD Ameritrade, Pershing
James D. Horn
CFP, owner
2001
1 Wealth strategist; 2 Also Daniel K. Carter, executive VP, CAO; Debra Ralls, executive VP, COO; 3 General partner; 4 Partner; 5 Wealth management advisor
Source: Individual company representatives, individual company Web sites. NA=not applicable or not available. Area includes Anderson, Blount, Campbell, Claiborne, Cocke, Grainger, Greene, Hamblen, Hancock, Hawkins, Jefferson, Knox, Loudon, McMinn, Meigs, Monroe, Morgan, Roane, Scott, Sevier and Union counties. This list and other Knoxville-area market data are available as an Excel spreadsheet at www.knoxvillebiz.com. If you notice an error or omission, please contact Angela Akers at 865-342-6424 or lists@knoxvillebiz.com.
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