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 Reps., Then Employment
Rank
'15
'14FirmPhone
Website
Offices: loc./tot.
Registered reps.
Local employees
% Private clients
% Instit. clients
Online brokerage?
Parent companyTop local executive
Founded locally
11Edward Jones
137 West End Ave.
Farragut, TN 37934
865-671-4613
edwardjones.com
70/70
70
140
NA
NA
No
Edward Jones & Co.
St. Louis, MO
Jim Dickerson
Regional leader
1980
27Securities Service Network
9729 Cogdill Road, Ste. 301
Knoxville, TN 37932
865-777-4677
ssnetwork.com
12/279
50
59
100%
0%
No
Ladenburg Thalmann Financial Services
Miami, FL
Wade Wilkinson
President, CEO
1983
36Raymond James & Associates
11400 Parkside Drive, Ste. 200
Knoxville, TN 37934
865-777-5800
raymondjames.com/knoxvillewealthmanagment
2/2
38
47
95%
5%
Yes
Raymond James Financial
St. Petersburg, FL
Joe Thompson
Branch manager
1984
43Wells Fargo Advisors
265 Brookview Centre Way, Ste. 100
Knoxville, TN 37919
865-560-2600
wellsfargoadvisors.com
2/NA
35
48
NA
NA
Yes
Wells Fargo Advisors
St. Louis, MO
Charles Schilleci
Crampton Helms
Branch manager, SVP
Branch manager
1995
55Merrill Lynch
800 S. Gay St., Ste. 2200
Knoxville, TN 37929
865-521-8800
ml.com
2/NA
30
43
NA
NA
Yes
Bank of America
Charlotte, NC
James L. Cagle
SVP, wealth management
1972
64Morgan Stanley
1111 Northshore Drive
Knoxville, TN 37919
865-558-9000
morganstanley.com
1/550
29
50
90%
10%
Yes
Morgan Stanley
New York, NY
David Elias
First VP, branch manager
1981
72UBS Financial Services
800 S. Gay St.
Knoxville, TN 37929
865-522-5183
ubs.com/branch/knoxvilleka
2/NA
25
40
NA
NA
Yes
UBS Financial Services
Zurich/Basel, Switzerland
James Carideo
Branch manager
1943
8NRFTB Advisors
800 S. Gay St.
Knoxville, TN 37929
865-971-2100
firsttennessee.com
13/82
20
34
30%
5%
Yes
First Horizon National Corp.
Memphis, TN
Harold Robertson
Sr. vice president 1
1982
99Valic Financial Advisors
412 N. Cedar Bluff Road, Ste. 400
Knoxville, TN 37923
865-291-5138
valic.com
1/NA
16
18
50%
NA
Yes
AIG
New York, NY
Teresa Fischer
Registered principal2
NA
1010Fidelity Investments
11513 Parkside Drive
Knoxville, TN 37934
865-288-1796
fidelity.com
1/195
15
15
NA
NA
Yes
Fidelity Investments
Boston, MA
Skip Markins
VP, branch manager
2010
118Capital Financial Group
8320 E. Walker Springs Lane, Ste. 100
Knoxville, TN 37923
865-246-1680
capitalfinancialgroup.net
NA/NA
13
27
NA
NA
NA
Capital Financial Group
Brentwood, TN
Bavy Lopez
Jim Hutchison
Partners
1950
1212Hilliard Lyons
8862 Cedar Springs Lane
Knoxville, TN 37923
865-470-8444
hilliard.com
1/NA
12
17
NA
NA
No
J.J. B. Hilliard, W.L. Lyons
Louisville, KY
Brian Donaldson
Sr. vice president
1854
1316TrustFirst
265 Brookview Centre Way, Ste. 504
Knoxville, TN 37919
865-583-7390
trustfirst.com
2/2
9
12
90%
10%
No
NA
NA
Donald Taylor
President
1995
1411SageView Advisory Group
8331 E. Walker Springs Lane, Ste. 301
Knoxville, TN 37923
865-293-4051
sageviewadvisory.com
1/6
7
30
20%
80%
No
SAGEVIEW
Irvine, CA
Sean King
Managing director
2005
1515Phillips Jones Wealth Management
4509 Papermill Drive
Knoxville, TN 37909
865-212-2376
phillipsjoneswealthmanagement.com
2/2
7
15
90%
10%
Yes
Ameriprise Financial Services
Minneapolis, MN
Steven Phillips
CFP
1996
1614Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
NA/NA
6
16
NA
NA
NA
NA
NA
Lytle Rather
President
2000
1717Charles Schwab & Co.
10114 Parkside Drive, Ste. 102
Knoxville, TN 37922
865-675-1762
schwab.com
1/330
5
5
NA
NA
Yes
The Charles Schwab Corp.
San Francisco, CA
Brian Edkin
Branch mgr., Knoxville
1997
18NRQuality Financial Concepts
115 W. Broadway Ave.
Maryville, TN 37801
865-984-3550
qualityfinancial.com
3/9
3
8
95%
5%
Yes
NA
NA
James Horn
CFP, owner
2001
19NRVisionary Horizons Wealth Management
620 Mabry Hood Road, Ste. 102
Knoxville, TN 37932
865-675-8496
visionaryhorizons.com
2/3
3
7
100%
NA
NA
Visionary Horizons Wealth Management
Knoxville, TN
Roger Kiger
Chief manager3
2008
1 Regional director, wealth management; 2 Manager, East Tenn. region; 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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