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Vicki Sue Strine

Rockefeller Capital Management

Charlotte, NC

Rockefeller Financial LLC

Atlanta, GA

Charlotte, NC

Shelby, NC

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Current Employers
Rockefeller Capital Management

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-08-07
TX RA APPROVED 2024-08-07
  • NC RA
    APPROVED
    Since 2024-08-07
  • TX RA
    APPROVED
    Since 2024-08-07

Branch Locations

5605 Carnegie Blvd., Suite 150 & Suite 200, Charlotte, NC 28209 • United States

Rockefeller Financial Llc

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2023-06-08
TX RA APPROVED 2023-06-08
  • NC RA
    APPROVED
    Since 2023-06-08
  • TX RA
    APPROVED
    Since 2023-06-08

Branch Locations

3060 Peachtree Road, Nw, Suite 110, Atlanta, GA 30305 • United States

5605 Carnegie Blvd., Suite 220, Charlotte, NC 28209 • United States

Shelby, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rockefeller Capital Management Charlotte NC 08/2024 Present
Rockefeller Financial Llc Charlotte NC 06/2023 Present
Morgan Stanley Smith Barney Charlotte NC 06/2009 06/2023
Previous Registrations
  • 2009-06-01 → 2023-06-14
    Morgan Stanley
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Charlotte, NC
    Charlotte, NC
  • 2005-02-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Charlotte, NC
    Greenville, SC
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-02-07
S63 Uniform Securities Agent State Law Examination 1998-02-10
  • S65 Uniform Investment Adviser Law Examination
    2005-02-07
  • S63 Uniform Securities Agent State Law Examination
    1998-02-10
Other Names
  • Vicki S Hensley
  • Vicki Sue Strine
  • Vicki Strine

View on SEC IAPD

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