VS
Vicki S. Strine
ROCKEFELLER FINANCIAL LLC
Charlotte, NC 28209
Some features on this profile are disabled
CRD#: 2975168
VS
Professional summary
Vicki Sue Strine, who also goes by VIcki S Hensley, Vicki Strine, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Charlotte, North Carolina and ROCKEFELLER CAPITAL MANAGEMENT located in Charlotte, North Carolina.
Vicki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Vicki has 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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vicki S Hensley | Vicki Strine
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Vicki Sue Strine's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vicki Sue Strine'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®
NoneExperience
Current
June 8, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Current
August 7, 2024 - Present
ROCKEFELLER CAPITAL MANAGEMENT
Office #1: 5605 Carnegie Blvd., Suite 150 & Suite 200, Charlotte, NC 28209RIA
CRD#: 294197
Charlotte, NC
Current
June 8, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209RIA
BD
CRD#: 291361
Charlotte, NC
Past
June 1, 2009 - June 14, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Charlotte, NC
Past
June 1, 2009 - June 14, 2023
MORGAN STANLEY
BD
CRD#: 149777
Charlotte, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
CHARLOTTE, NC
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
CHARLOTTE, NC
Past
February 8, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
CHARLOTTE, NC
Past
October 30, 2001 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
CHARLOTTE, NC
Past
July 25, 2001 - October 18, 2001
DAVENPORT & COMPANY LLC
BD
CRD#: 1588
RICHMOND, VA
Past
May 11, 1999 - July 26, 2001
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 26, 1999 - May 12, 1999
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
January 15, 1998 - February 22, 1999
CRESTAR SECURITIES CORPORATION
BD
CRD#: 17464
RICHMOND, VA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/8/2023)
RR
Alaska(6/8/2023)
RR
Arizona(6/8/2023)
RR
Arkansas(6/8/2023)
RR
California(6/8/2023)
RR
Colorado(6/8/2023)
RR
Connecticut(6/8/2023)
RR
Delaware(6/8/2023)
RR
District of Columbia(6/8/2023)
RR
Florida(6/8/2023)
RR
Georgia(6/8/2023)
RR
Hawaii(6/8/2023)
RR
Idaho(6/8/2023)
RR
Illinois(6/8/2023)
RR
Indiana(6/8/2023)
RR
Iowa(6/8/2023)
RR
Kansas(6/8/2023)
RR
Kentucky(6/8/2023)
RR
Louisiana(6/8/2023)
RR
Maine(6/8/2023)
RR
Maryland(6/8/2023)
RR
Massachusetts(6/8/2023)
RR
Michigan(6/8/2023)
RR
Minnesota(6/8/2023)
RR
Mississippi(6/8/2023)
RR
Missouri(6/8/2023)
RR
Montana(6/8/2023)
RR
Nebraska(6/8/2023)
RR
Nevada(6/8/2023)
RR
New Hampshire(6/8/2023)
RR
New Jersey(6/8/2023)
RR
New Mexico(6/8/2023)
RR
New York(6/8/2023)
RR
North Carolina(6/8/2023)
IAR
North Carolina(6/8/2023)
RR
North Dakota(6/8/2023)
RR
Ohio(6/8/2023)
RR
Oklahoma(6/8/2023)
RR
Oregon(6/8/2023)
RR
Pennsylvania(6/8/2023)
RR
Puerto Rico(6/8/2023)
RR
Rhode Island(6/8/2023)
RR
South Carolina(6/8/2023)
RR
South Dakota(6/8/2023)
RR
Tennessee(6/8/2023)
RR
Texas(6/8/2023)
IAR
Texas(6/8/2023)
RR
Utah(6/8/2023)
RR
Vermont(6/8/2023)
RR
Virgin Islands(6/8/2023)
RR
Virginia(6/8/2023)
RR
Washington(6/8/2023)
RR
West Virginia(6/8/2023)
RR
Wisconsin(6/8/2023)
RR
Wyoming(6/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 6/8/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
