Terrence Dee Ormsbee
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Terrence D Ormsbee
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
BATTLE CAPITAL ASSET MANAGEMENT LLC
Contact Information
Main Address
Phoenix, AZPhone Number
(480) 262-0192# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
5AUM (Assets Under Management)
$23,360,175Similar Advisors
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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.
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State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Feb 1995Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1990Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Terrence Dee Ormsbee's CRS (Customer Relationship Summary).
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