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RIA / WealthAdvisor40 years in industry

TERRENCE DEE ORMSBEE

Advisor at BATTLE CAPITAL ASSET MANAGEMENT LLC

PHOENIX, AZ

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Search this name across graphsid dfx:ria:2e00dd7c-9d55-d147-6286-07ad56443ab2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Aug 3, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: BATTLE CAPITAL ASSET MANAGEMENT LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 14, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Jan 14, 1986
First registration: Aug 3, 1999
Dual registered: no
Other names: TERRENCE D ORMSBEE
IAPD individual key: 852657

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
BATTLE CAPITAL ASSET MANAGEMENT LLC	State registered	May 9, 2011	n/a	yes	PHOENIX, AZ	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Feb 22, 2010	no	LAS VEGAS, NV\|SCOTTSDALE, AZ	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Nov 6, 2007	Oct 23, 2009	no	LAS VEGAS, NV\|SCOTTSDALE, AZ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 3, 1999	Nov 8, 2007	no	SCOTTSDALE, AZ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BATTLE CAPITAL ASSET MANAGEMENT LLC	Feb 22, 2010	May 9, 2011	441	Firm change after gap	Wirehouse to state RIA
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Nov 8, 2007	Nov 6, 2007	-2	Firm change	Other

Relationships

Registered with (4)

→ BATTLE CAPITAL ASSET MANAGEMENT LLCRegistered adviserregistration: current employment
May 9, 2011 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Feb 22, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Nov 6, 2007 to Oct 23, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 3, 1999 to Nov 8, 2007factForm ADV

Dated events

No dated event names this entity yet.