Terrence D. Ormsbee

BATTLE CAPITAL ASSET MANAGEMENT LLC

Phoenix, AZ

Some features on this profile are disabled

CRD#: 852657

Professional summary

Terrence Dee Ormsbee, who also goes by Terrence D Ormsbee, is a registered financial advisor currently at BATTLE CAPITAL ASSET MANAGEMENT LLC located in Phoenix, Arizona.

Terrence is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Terrence has worked at 8 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Terrence D Ormsbee

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

TERRENCE (TERRY) D. ORMSBEE IS AN ARBITRATOR FOR BOTH THE NATIONAL FUTURES ASSOCIATION AND FINRA. HE SPENDS AT MAXIMUM 5 HOURS PER MONTH AND 8 HOURS PER MONTH, RESPECTIVELY. THE DUTIES ARE NOT ENGAGED DURING U.S. STOCK MARKET TRADING HOURS. MR. ORMSBEE IS THE SOLE OWNER OF CANNON CAPITAL MANAGEMENT, LLC, ("CANNON CAPITAL"), A LIMITED LIABILITY COMPANY ESTABLISHED IN ARIZONA. CANNON CAPITAL SERVES AS THE ENTITY THROUGH WHICH MR. ORMSBEE MANAGES HIS PERSONAL INVESTMENTS, AND IT IS CLOSED TO OUTSIDE CLIENTS. MR. ORMSBEE PROVIDES EXPERT WITNESS TESTIMONY IN SECURITIES RELATED ARBITRATIONS FOR WHICH HE RECEIVES COMPENSATION. HIS WORK AS AN EXPERT WITNESS IS SEPARATE AND APART FROM HIS INVESTMENT ADVISORY BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terrence Dee Ormsbee's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 9, 2011 - Present

BATTLE CAPITAL ASSET MANAGEMENT LLC

RIA

CRD#: 156266

Phoenix, AZ

Past

October 23, 2009 - February 22, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LAS VEGAS, NV

Past

October 23, 2009 - February 22, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LAS VEGAS, NV

Past

November 6, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SCOTTSDALE, AZ

Past

October 26, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SCOTTSDALE, AZ

Past

August 3, 1999 - November 8, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SCOTTSDALE, AZ

Past

July 31, 1993 - November 8, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

SCOTTSDALE, AZ

Past

February 15, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

October 7, 1985 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

January 3, 1983 - October 25, 1985

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

September 26, 1978 - January 31, 1983

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

June 1, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/9/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/15/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 2/9/1995

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 5/20/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/28/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 3/28/1990

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BATTLE CAPITAL ASSET MANAGEMENT LLC

CRD#: 156266 / SEC#:

Arizona

Registered Investment Advisory firm - (5/9/2011 Approved)

South Dakota

Registered Investment Advisory firm - (3/18/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Phoenix, AZ

Mailing Address

Phone number

(480) 262-0192

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	5
AUM (Assets Under Management)	$ 16,495,046

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Terrence D. Ormsbee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terrence Dee Ormsbee's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/1992

Series 63

Date: 1/14/1986

Series 5

Date: 2/9/1995

Series 7

Date: 5/20/1978

Series 24

Date: 1/28/2008

Series 8

Date: 3/28/1990

Current Firm

BATTLE CAPITAL ASSET MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BATTLE CAPITAL ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors