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
'14
'13CompanyPhone
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
1
Bank of America
Charlotte, NC
8 / 34
NA
NA
NA / NA
NA/NA / NA
Merrill Lynch
James L. Cagle
Senior VP, investments
1972
22Patriot Investment Management
9721 Cogdill Road, Ste. 101
Knoxville, TN 37932
865-777-2479
patriotinvestment.com
1
NA
NA
8 / 21
$566,772,811
NA
NA / NA
NA/NA / 100%
Charles Schwab & Co.
Brad Bower
President
1993
34Wells Fargo Advisors
265 Brookview Centre Way, Ste. 100
Knoxville, TN 37919
865-560-2600
wellsfargoadvisors.com
2
Wells Fargo Advisors
St. Louis, MO
6 / 46
NA
NA
85% / 15%
60%/40% / NA
Wells Fargo Advisors
Charles J. Schilleci
Branch manager, SVP
1995
45UBS 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
53Morgan Stanley
1111 Northshore Drive
Knoxville, TN 37919
865-558-9000
morganstanley.com
1
Morgan Stanley
New York, NY
5 / 54
NA
NA
90% / 10%
80%/20% / NA
Morgan Stanley
David Elias
First VP, branch manager
1981
66Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
1
NA
NA
5 / 15
$858,273,212
NA
50% / 50%
90%/10% / NA
Fidelity Investments
Lytle Rather
President
2000
77The Trust Company
4823 Old Kingston Pike, Ste. 100
Knoxville, TN 37919
865-971-1902
thetrust.com
NA
NA
NA
4 / 58
$2,300,000,000
NA
55% / 45%
100%/NA / NA
NA
Sharon Miller Pryse
President, CEO1
1987
88Visionary 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 / 6
$120,000,000
250
85% / 15%
85%/15% / NA
Schwab Institutional
Roger Kiger
Chief manager2
2008
9NRRegions Private Wealth Management3
151 Major Reynolds Place
Knoxville, TN 37919
865-521-5938
regions.com
1
Regions Bank
Birmingham, AL
3 / 23
$500,000,000
NA
75% / 25%
100%/0% / NA
NA
Sam Albritton
Executive vice president
1999
109Meridian Trust & Investment Co.
109 N. Northshore Drive
Knoxville, TN 37919
865-342-4400
trustmeridian.com
1
NA
NA
3 / 20
$585,000,000
NA
50% / 50%
100%/NA / NA
NA
Tom Coulter
President
1997
1110BB&T Wealth Advisors
900 S. Gay St.
Knoxville, TN 37902
865-766-8681
bbt.com
NA
BB&T
Knoxville, TN
3 / 10
NA
NA
90% / 10%
90%/10% / NA
BB&T Wealth Advisors, Scott & Stringfellow, BB&T Investment Svcs.
W. Gordon Savage
Senior vice president4
1872
1211Imbrey & Associates, CERTIFIED FINANCIAL PLANNER™ professionals
1322 Dowell Springs Blvd.
Knoxville, TN 37909
865-588-9333
ImbreyandAssociates.com
1
AXA Advisors
New York, NY
3 / 7
$367,000,000
915
75% / 25%
65%/30% / 5%
LPL / AXA Advisors
Jacki S. Imbrey, CFP®,CLU,ChFC5
Richard M. Imbrey, CFP®,CLU,ChFC6
David H. Jeffries, CFP®6
General Partner
1983
1312Asset Planning Corporation
234 S. Peters Road, Ste. 102
Knoxville, TN 37923
865-690-1231
assetplanningcorp.com
1
NA
NA
3 / 5
$162,000,000
143
95% / 5%
0%/0% / 100%
Charles Schwab & Co.
Paul K. Fain
President
1975
1413Northwestern Mutual - Knoxville
110 Triplett Lane
Knoxville, TN 37922
865-251-5100
nm-knoxville.com
1
Northwestern Mutual
Milwaukee, WI
2 / 41
$480,000,000
12,000
75% / 25%
30%/70% / NA
Northwestern Mutual Investment Services
Kevin S. Proffitt
Managing director7
1857
15NRHilliard Lyons
8862 Cedar Springs Lane
Knoxville, TN 37923
865-470-8444
hilliard.com
1
J.J. B. Hilliard, W.L. Lyons
Louisville, KY
2 / 18
NA
NA
98% / 2%
35%/65% / NA
Self Clearing
Brian Donaldson
Sr. Vice President
1854
1614Valic Financial Advisors
412 N. Cedar Bluff Road, Ste. 400
Knoxville, TN 37923
865-291-5138
valic.com
NA
AIG
New York, NY
2 / 13
$1,500,000,000
NA
75% / 25%
10%/90% / NA
National Financial Services
Teresa R. Fischer
Registered principal 8
NA
1715Phillips Jones Wealth Management
4509 Papermill Drive
Knoxville, TN 37909
865-212-2376
phillipsjoneswealthmanagement.com
NA
Ameriprise Financial Services
Minneapolis, MN
2 / 12
$200,000,000
NA
80% / 20%
80%/10% / 10%
NA
Steven A. Phillips
CFP, CLU, ChLU, MBA, AEP
1996
1817Brent Trentham and Associates
1309 Kalmia Road
Knoxville, TN 37909
865-588-4484
ameripriseadvisors.com/brent.l.trentham
2
Ameriprise Financial
Minneapolis, MN
1 / 14
$325,000
900
95% / 5%
75%/25% / NA
NA
Brent L. Trentham
CFP
1990
19NRQuality Financial Concepts
115 W. Broadway Ave.
Maryville, TN 37801
865-984-3550
qualityfinancial.com
2
NA
NA
1 / 7
$66,102,375
453
90% / 10%
NA/40% / 60%
TD Ameritrade, Pershing
James Douglas D. Horn
CFP, Owner
2001
1 Also Daniel K. Carter, executive VP, CAO; Debra Ralls, executive VP, COO; 2 Wealth strategist; 3 Formerly Regions Morgan Keegan Trust; 4 Also wealth management team director; 5 General partner; 6 Partner; 7 Also Wealth management advisor; 8 Manager, East Tenn. region
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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