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
'14
'13FirmPhone
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
50/50
62
125
100%
0%
No
Edward Jones & Co.
St. Louis, MO
Jim Dickerson
Regional Leader
1980
22UBS Financial Services
800 S. Gay St.
Knoxville, TN 37929
865-522-5183
ubs.com/branch/knoxvilleka
2/NA
40
48
NA
NA
Yes
UBS Financial Services
Zurich/Basel, Switzerland
James Carideo
Branch manager
1943
33Wells Fargo Advisors
265 Brookview Centre Way, Ste. 100
Knoxville, TN 37919
865-560-2600
wellsfargoadvisors.com
1/1
31
43
NA
NA
Yes
Wells Fargo Advisors
St. Louis, MO
Charles Schilleci, CFP
Branch manager, Sr. VP
1995
44Morgan Stanley
1111 Northshore Drive
Knoxville, TN 37919
865-558-9000
morganstanley.com
1/650
30
53
90%
10%
Yes
Morgan Stanley
New York, NY
David Elias
First VP, Branch Manager
1981
56Merrill Lynch
800 S. Gay St., Ste. 2200
Knoxville, TN 37929
865-521-8800
ml.com
2/2
30
43
NA
NA
Yes
Bank of America
Charlotte, NC
James L. Cagle
Senior VP, investments
1972
65Raymond James & Associates
11400 Parkside Drive, Ste. 200
Knoxville, TN 37934
865-777-5800
raymondjames.com
1/2
24
47
100%
0%
No
Raymond James Financial
St. Petersburg, FL
Joe Thompson
Branch manager
1962
77Securities Service Network1
9729 Cogdill Road, Ste. 301
Knoxville, TN 37932
865-777-4677
ssnetwork.com
11/278
19
57
100%
0%
Yes
NA
NA
Wade Wilkinson
President, CEO
1983
88Capital Financial Group
8320 E. Walker Springs Lane, Ste. 100
Knoxville, TN 37923
865-246-1680
capitalfinancialgroup.net
NA/NA
18
35
NA
NA
NA
Capital Financial Group
Brentwood, TN
Bavy Lopez
Sales manager, partner
1950
99Valic Financial Advisors
412 N. Cedar Bluff Road, Ste. 400
Knoxville, TN 37923
865-291-5138
valic.com
1/NA
16
17
80%
20%
Yes
AIG
New York, NY
Teresa Fischer
Registered principal Mgr, East Tenn. region
NA
1010Fidelity Investments
11513 Parkside Drive
Knoxville, TN 37934
865-288-1796
fidelity.com
1/195
13
15
NA
NA
Yes
Fidelity Investments
Boston, MA
Skip Markins
VP, branch manager
2010
1112SageView Advisory Group
8331 E. Walker Springs Lane, Ste. 301
Knoxville, TN 37923
865-293-4051
sageviewadvisory.com
1/5
12
31
20%
80%
No
SAGEVIEW
Irvine, CA
Sean King
Managing director
2005
1211Hilliard Lyons
8862 Cedar Springs Lane
Knoxville, TN 37923
865-470-8444
hilliard.com
1/78
12
17
NA
NA
No
J.J. B. Hilliard, W.L. Lyons
Louisville, KY
Brian Donaldson
Sr. Vice President
1854
1313ATW
6312 Kingston Pike
Knoxville, TN 37919
865-560-9527
atwllc.com
2/3
7
15
NA
NA
NA
LPL Financial
San Diego, CA
Randy Tisdale
Porter Alexander
Principals
2004
1415Rather & Kittrell
11905 Kingston Pike
Knoxville, TN 37934
865-218-8400
rkcapital.com
1/1
6
16
NA
NA
NA
NA
NA
Lytle Rather
President
2000
1518Phillips Jones Wealth Management
4509 Papermill Drive
Knoxville, TN 37909
865-212-2376
phillipsjoneswealthmanagement.com
2/2
6
13
100%
NA
Yes
Ameriprise Financial Services
Minneapolis, MN
Steven Phillips
CFP, CLU, ChLU, MBA, AEP
1996
16NRTrustFirst
265 Brookview Centre Way, Ste. 504
Knoxville, TN 37919
865-583-7390
trustfirst.com
1/2
5
8
90%
10%
No
NA
NA
Donald Taylor
President
1995
1716Charles Schwab & Co.
10114 Parkside Drive, Ste. 102
Knoxville, TN 37922
865-675-1762
schwab.com
1/300
5
6
100%
NA
Yes
The Charles Schwab Corp.
San Francisco, CA
Brian Edkin
Branch mgr., Knoxville
1997
1817Investment & Retirement Services Group
2099 Thunderhead Road, Ste. 203
Knoxville, TN 37922
865-251-0808
IRSG.net
1/2
4
6
NA
NA
NA
LPL Financial
Charlotte, NC
Jon Bednar
Sr. Vice President, Branch Manager, Partner
2001
1 On Sept. 23, 2014, Miami, Fla.-based Ladenburg Thalmann Financial Services announced its intention to acquire SSN. The acquisition will be finalized later this year, pending regulatory approval
Source: Individual company representatives, company Web sites. 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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