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Phoenix, AZ • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2011-05-09 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Battle Capital Asset Management, Llc | Scottsdale | AZ | 01/2011 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 1986-01-14 |
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