Vicki S. Strine
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Vicki Sue Strine, who also goes by VIcki S Hensley, Vicki Strine, was a registered financial professional .
Vicki is a previously registered financial professional and started their career in finance in 1998. Vicki had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2024 - July 21, 2026
ROCKEFELLER CAPITAL MANAGEMENT
June 8, 2023 - July 21, 2026
ROCKEFELLER FINANCIAL LLC
June 8, 2023 - July 21, 2026
ROCKEFELLER FINANCIAL LLC
June 1, 2009 - June 14, 2023
MORGAN STANLEY
June 1, 2009 - June 14, 2023
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
February 8, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
October 30, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
July 25, 2001 - October 18, 2001
DAVENPORT & COMPANY LLC
May 11, 1999 - July 26, 2001
MORGAN STANLEY DW INC.
February 26, 1999 - May 12, 1999
WACHOVIA SECURITIES, INC.
January 15, 1998 - February 22, 1999
CRESTAR SECURITIES CORPORATION
Primary Firm SEC Registration
ROCKEFELLER CAPITAL MANAGEMENT
CRD#: 294197 / SEC#: 801-113009
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 6/8/2023
Operations Professional ExaminationCurrent Firm
ROCKEFELLER CAPITAL MANAGEMENT
CRD#: 294197 / SEC#: 801-113009
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,530 |
| AUM (Assets Under Management) | $ 32,587,849,166 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/23/2025 | ||
| 07/29/2024 | ||
| 10/27/2023 |
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.
