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Bavy L

Series 63, Series 65

Knoxville, TN

Mass Mutual Investors Services

Bavy Lopez is a financial advisor with Mass Mutual Investors Services in Knoxville, TN, holding the Series 63 and Series 65 credentials and bringing 23 years of industry experience. He has been with MML Investors Services and MassMutual Life Insurance Company since 2010. MML Investors Services, LLC operates as a broker-dealer and SEC-registered investment adviser under MassMutual, offering financial planning and asset management services to individuals, business owners, trusts, estates, charitable organizations, and employers. The firm emphasizes structured, collaborative planning engagements supported by firm-approved analytical tools and provides educational seminars alongside event-driven planning programs.

Divorce financial planning General estate planning guidance Multi-generational wealth transfer Cash flow / budgeting Founder/Business Owner Attorney Executive Married/Couples/Partners Divorced
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Jonathan S

Series 63, Series 65

Knoxville, TN

Primerica Advisors

Jonathan Smith is a financial advisor with Primerica Advisors in Powell, TN, holding Series 63 and Series 65 licenses and 17 years of industry experience. He has worked with Primerica Financial Services, PFS Investments Inc., and Src Inc since 2008 and 2010 respectively. Outside of his advisory role, Smith serves as an elder at Redemption Life Church. Primerica Advisors provides discretionary asset management through its Lifetime Investment Program, offering model-delivery strategies and a limited selection of discretionary separately managed accounts to individual and high-net-worth clients. The firm curates third-party asset managers and utilizes a tiered wrap-fee structure, delegating trading responsibilities to BNY Mellon Advisors for model implementation.

ESG / Sustainable investing Tax-loss harvesting Income planning
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Natalie D

Series 66

Knoxville, TN

Robert Baird & Co.

Natalie Denny is a financial advisor at Robert W. Baird & Co. with a Series 66 designation and one year of industry experience. Her prior roles include positions at Vanderbilt Mortgage & Finance and involvement with Cedar Springs Presbyterian Church. She also has experience in education and hospitality sectors, having worked at Centre College, Bearden High School, and Bluegrass Pizza and Pub. The DDK Group, part of Robert W. Baird & Co.’s Private Wealth Management department, serves individuals, corporate clients, pension and profit-sharing plans, and charitable organizations. The firm offers a range of services including financial planning, discretionary and non-discretionary portfolio management, and utilizes manager-traded and model-traded SMA strategies alongside tax-management and direct-indexing capabilities.

Wealth management Tax-loss harvesting Retired Founder/Business Owner
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Shara W

CFP®, ChFC®, Series 66

Maryville, TN

Edward Jones

Shara White is a CFP® and ChFC® with eight years of experience at Edward Jones, where she has worked since 2008. She holds a Series 66 license and is based in Maryville, Tennessee. Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients. The firm manages approximately $1.01 trillion in assets through a broad network of financial advisors and offers a range of advisory services, including discretionary and non-discretionary wrap fee strategies, separately managed accounts, and affiliated mutual funds.

Charitable giving & philanthropy General estate planning guidance Retirement income strategy Early retirement planning Retired Founder/Business Owner Executive Women's Finance Widow/Widower
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Hannah B

Series 66

Maryville, TN

LPL Financial

Hannah Brock is a Series 66-licensed financial advisor with 11 years of industry experience, currently affiliated with LPL Financial. She has been associated with FTB Advisors, Inc. since 2014 and joined LPL Financial in 2025. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad client base including individuals, retirement plans, banks, corporations, and charitable organizations through a nationwide network of investment adviser representatives. The firm offers a range of financial planning and advisory programs, incorporating both discretionary and non-discretionary management options supported by LPL Research and third-party subadvisors.

College savings (529s, UTMA, etc.)
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Darren W

Series 66

Knoxville, TN

Robert Baird & Co.

Darren Welch is a financial advisor with Robert Baird & Co. in Knoxville, TN, holding a Series 66 designation and 19 years of industry experience. He has worked at Robert Baird & Co. since 2019 and previously at Hilliard Lyons. He serves as treasurer for West High, a non-investment related role. He is part of The DDK Group, a team within Robert W. Baird & Co.’s Private Wealth Management practice that advises individuals, families, pensions, corporations, and charitable organizations. The group provides customized consulting and portfolio management services using a variety of investment strategies and overlays.

Wealth management Tax-loss harvesting Retired Founder/Business Owner
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Tracy G

Series 63, Series 65

Knoxville, TN

Robert Baird & Co.

Tracy Gangone is a financial advisor with Robert Baird & Co. and holds Series 63 and Series 65 licenses. She has 25 years of industry experience and has been with Robert Baird since 2019, also maintaining a role at JJB Hilliard WL Lyons LLC since 2014. She is part of The DDK Group, a team within Robert W. Baird & Co.’s Private Wealth Management practice that serves individuals, families, pensions, corporations, and institutional clients. The group offers tailored financial planning and portfolio management services using a combination of in-house and third-party managers, covering a range of traditional and non-traditional investment strategies.

Wealth management Tax-loss harvesting Retired Founder/Business Owner
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Catherine J

Series 66

Lenoir City, TN

LPL Financial

Catherine James is a financial advisor with LPL Financial and holds the Series 66 designation. She has seven years of industry experience, including seven years at Morgan Stanley and Morgan Stanley Private Bank. Prior to her current role, she also worked at United Community Bank and has entrepreneurial experience with Knotty Pine Motel. LPL Financial is an SEC-registered investment adviser and broker-dealer serving a broad client base that includes individuals, retirement plans, banks, credit unions, corporations, and charitable organizations. The firm offers a range of advisory programs, financial planning, and retirement consulting services, utilizing both discretionary and non-discretionary management and supported by research from multiple sources.

College savings (529s, UTMA, etc.)
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Kimberlie J

Series 63, Series 66

Knoxville, TN

LPL Financial

Kimberlie Jarrard is a financial advisor at LPL Financial with 23 years of industry experience. She holds Series 63 and Series 66 licenses and has worked previously at FTB Advisors, Inc, SunTrust Advisory Services, and SunTrust Bank. Her practice is based in Knoxville, TN. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, financial institutions, corporations, and charitable organizations through a national network. The firm offers a range of advisory programs, financial planning services, and brokerage solutions supported by both discretionary and non-discretionary management and diverse model portfolios.

College savings (529s, UTMA, etc.)
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Taylor G

Series 66

Knoxville, TN

Raymond James Financial

Taylor Griffey is a financial advisor at Raymond James Financial with a Series 66 license and two years of industry experience. Prior to joining Raymond James, he worked at Wealthcare Advisory Partners LLC and LPL Financial LLC. Outside of advisory services, Griffey is a licensed insurance agent involved in insurance sales and implementation. Raymond James Financial Services Advisors, Inc. offers financial planning, investment consulting, and advisory services to a diverse client base, including individuals, high-net-worth clients, corporations, and institutional investors. The firm employs tailored, non-discretionary planning and analytical modeling tools to support client goals and maintains specialized programs for municipal and public finance as well as SIMPLE IRA employer advisory services.

Wealth management Tax strategies for small businesses Business succession planning General estate planning guidance Founder/Business Owner Executive
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Sara W

Series 66

Knoxville, TN

Raymond James & Associates

Sara Wade is a financial advisor at Raymond James & Associates with 14 years of industry experience. She holds a Series 66 designation and has previously worked at UBS Financial Services and Merrill. Raymond James & Associates is a large, dually registered broker-dealer and SEC-registered investment adviser overseeing approximately $501 billion in assets. The firm serves a diverse client base including individuals, institutions, and charitable organizations, offering financial planning, non-discretionary investment consulting, and institutional fiduciary solutions.

General retirement planning Retirement income strategy Business succession planning Founder/Business Owner Executive
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Roger K

Series 63, Series 65

Knoxville, TN

Ameriprise

Roger Kiefer is a financial advisor at Ameriprise with 32 years of industry experience. He has been with Ameriprise and its predecessor firms since 1993. Kiefer serves as Treasurer on the Board of Directors for the Northshore Hills Homeowners Association in Knoxville, TN. Ameriprise offers retirement-income planning services targeted at individuals approaching or in retirement who meet specific asset criteria, combining research, modeling, and tax-efficiency analysis to deliver customized recommendation reports. The firm provides a broad range of advisory, brokerage, and insurance solutions through affiliated entities.

Retirement income strategy Income planning Social Security optimization Retirement withdrawal strategies Approaching retirement
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Benjamin J

Series 63, Series 66

Knoxville, TN

Merrill

Benjamin Johnson is a financial advisor at Merrill with 13 years of industry experience. He holds Series 63 and Series 66 designations and has been with Bank of America and Merrill since 2015. Outside of his advisory role, he is a 25% owner of Forest Park Partnership, a for-profit commercial office building partnership in Knoxville, Tennessee, where he has no day-to-day responsibilities. Merrill serves a broad range of clients, including individuals, retirement plans, corporations, and institutional clients, through managed account programs, discretionary portfolio management, and brokerage services. The firm emphasizes manager selection and tax-efficient investment strategies and benefits from integration with Bank of America’s broader banking and capital markets platform.

Tax-loss harvesting Active portfolio management Wealth management
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Hassan F

CFP®, Series 63

Knoxville, TN

LPL Financial

Hassan Fawaz is a CFP® professional with 28 years of experience in the financial services industry, currently affiliated with LPL Financial since 2009. Based in Knoxville, TN, he also sells fixed annuities and various insurance products. Fawaz holds a Series 63 license and has been involved in other business activities including serving as a notary and operating a financial services DBA in Tennessee. LPL Financial is an SEC-registered investment adviser and broker-dealer serving individuals, retirement plans, banks, credit unions, corporations, and charitable organizations through a national network of investment adviser representatives. The firm offers a range of financial planning and advisory programs, utilizing both discretionary and non-discretionary management supported by LPL Research and third-party subadvisors.

College savings (529s, UTMA, etc.)
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Jennifer D

ChFC®, Series 66

Knoxville, TN

Edward Jones

Jennifer Dickey is a financial advisor with Edward Jones in Knoxville, TN, holding the ChFC® and Series 66 designations and has seven years of industry experience. She worked at PL Marketing for six years prior to joining Edward Jones in 2018. Edward Jones is a full-service wealth management firm serving more than four million individual and institutional clients with approximately $1.01 trillion in assets under management. The firm offers a range of advisory programs and investment solutions, operating under a fiduciary standard and supported by a large network of financial advisors and branch offices nationwide.

Retirement income strategy College savings (529s, UTMA, etc.) General estate planning guidance Retirement withdrawal strategies Retired Founder/Business Owner Executive
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Lauren L

ChFC®, Series 63

Knoxville, TN

Mass Mutual Investors Services

Lauren Levy is a financial advisor with Mass Mutual Investors Services holding the ChFC® designation and Series 63 license, with six years of industry experience. Her prior experience includes roles at Northwestern Mutual Wealth Management Company and LPL Financial LLC. Mass Mutual Investors Services is a broker-dealer and SEC-registered investment adviser that serves individuals, business owners, trusts, estates, charitable organizations, and employers. The firm offers comprehensive financial planning, asset management, and educational seminars, using firm-approved analytical tools and focusing on collaborative, ongoing client relationships.

Divorce financial planning General estate planning guidance Multi-generational wealth transfer Cash flow / budgeting Founder/Business Owner Attorney Executive Married/Couples/Partners Divorced
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Lincoln S

Series 63, Series 65

Knoxville, TN

Mass Mutual Investors Services

Lincoln Sills is a financial advisor with Mass Mutual Investors Services, holding Series 63 and Series 65 credentials and five years of industry experience. His prior roles include positions at New York Life Insurance Company, Eagle Strategies, and Nylife Securities LLC. Mass Mutual Investors Services is a broker-dealer and SEC-registered investment adviser serving individuals, business owners, trusts, estates, charitable organizations, and employers. The firm offers ongoing financial planning, asset management, and educational seminars, structuring planning engagements as annual collaborative relationships that use firm-approved tools to analyze client goals and deliver written recommendations.

Divorce financial planning General estate planning guidance Multi-generational wealth transfer Cash flow / budgeting Founder/Business Owner Attorney Executive Married/Couples/Partners Divorced
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David R

Series 63, Series 65

Oak Ridge, TN

Cetera

David Roessner is a financial advisor with Cetera, holding Series 63 and Series 65 credentials and 15 years of industry experience. He has been with Cetera and affiliated entities since 2016. Cetera Investment Advisers LLC is a large SEC-registered firm that serves individual, retirement plan, corporate, charitable, and institutional clients through a nationwide network of independent advisors. The firm offers a multi-manager platform with a variety of portfolio management and financial planning services, managing over $256 billion in assets and more than 10,000 advisors across multiple program structures.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Christopher K

Series 63, Series 65

Knoxville, TN

Cetera

Christopher King is a financial professional with 15 years of industry experience, currently affiliated with Cetera. He has held roles at several firms including Mass Mutual Investors Services, Massachusetts Mutual Life Insurance Company, Metlife Securities Inc., and New England Securities. King is also involved in other financial services activities, including insurance sales and operations under Financial Marketplace, Inc. and Millennium Wealth Management. Cetera Investment Advisers LLC is an SEC-registered adviser that serves a wide range of clients including individuals, retirement plans, corporate, charitable, and institutional accounts. The firm offers various portfolio management and financial planning services through a multi-manager platform, with access to affiliated and third-party managers, supporting discretionary and non-discretionary strategies across multiple program structures.

Wealth management Tax-loss harvesting Retirement plans for business owners (SEP, solo 401k) Business exit / sale strategy Founder/Business Owner Executive
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Christine N

Series 66

Knoxville, TN

Edward Jones

Christine Neuefeind is a financial advisor with Edward Jones in Knoxville, TN, holding a Series 66 designation and seven years of industry experience. Her prior roles include positions at 21st Mortgage Corporation and involvement with organizations such as Goodness To Go and the Traveling Music Academy. Edward Jones is a full-service wealth management firm serving over four million individual and institutional clients, offering a wide range of advisory programs and investment solutions through a large national network of financial advisors and branch offices.

Wealth management Tax-loss harvesting Multi-generational wealth transfer Retired Founder/Business Owner Executive
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