Viktoria Irena Palermo

Current Employers

Employment History

• 05/2014 → 12/2020
  Lucia Capital Group
  San Diego, CA
• 05/2014 → 01/2021
  Lucia Securities, Llc
  San Diego, CA
• 09/2020 → 09/2021
  Lpl Financial, Llc
  San Diego, CA
• 09/2021 → Present
  Dunham & Associates Investment Counsel, Inc.
  San Diego, CA

Previous Registrations

• 2020-09-01 → 2021-09-22
  Lpl Financial Llc
  San Diego, CA
  San Diego, CA
  San Diego, CA
• 2014-05-27 → 2020-12-31
  Lucia Capital Group
  San Diego, CA
• 2012-07-02 → 2013-01-02
  First Allied Advisory Services, Inc.
  San Diego, CA
• 2009-09-15 → 2012-07-02
  First Allied Securities, Inc.
  San Diego, CA
  San Diego, CA
  San Diego, CA
• 2007-03-27 → 2009-09-18
  Lpl Financial Llc
  San Diego, CA
  San Diego, CA

Other Businesses

THE FOLLOWING ARE CONSIDERED INVESTMENT-RELATED ACTIVITIES SINCE THE INDIVIDUAL IS ASSOCIATED WITH (I) AN INVESTMENT COMPANY AND (II) ONE OR MORE OF THE ENTITIES THAT PROVIDE INVESTMENT ADVICE RELATED TO SECURITIES AND/OR REAL ESTATE. 1)CHIEF COMPLIANCE OFFICER ("CCO"), DUNHAM FUNDS (THE "FUNDS") FROM SEPTEMBER 2021 TO PRESENT. THE CCO IS RESPONSIBLE FOR ADMINISTERING THE FUNDS' COMPLIANCE POLICIES AND PROCEDURES. MS. PALERMO SPENDS APPROXIMATELY 50% OF HER TIME ACTING IN THIS CAPACITY. THE FUNDS ARE LOCATED AT THE EXECUTIVE OFFICE IN SAN DIEGO, CALIFORNIA. 2) BSA/AML COMPLIANCE OFFICER, DUNHAM TRUST COMPANY ("DTC") AND DUNAHM PRIVATE TRUST ("DPT") FROM SEPTEMBER 2021/ DECEMBER 2024 TO PRESENT. DTC/DPT OFFERS TRUSTEE, INVESTMENT MANAGEMENT AND CUSTODIAL SERVICES FOR PERSONAL TRUST ACCOUNTS, EMPLOYEE BENEFIT ACCOUNTS, CUSTODY AND THIRD PARTY AGENCY ACCOUNTS. MS. PALERMO SPENDS APPROXIMATELY 5% OF HER TIME ADMINISTERING THE BSA/AML COMPLIANCE PROGRAM FOR DTC/ DPT. DTC IS LOCATED AT 50 N. SIERRA STREET #201, RENO, NV. 89501. DPT IS LOCATED AT 1111 EAST LINCOLNWAY, STE 103, CHEYENNE, WY 82001. DPT IS THE WYOMING DIVISION OF DUNHAM TRUST COMPANY.

Exams

• S66 Uniform Combined State Law Examination
  2007-03-26
• S63 Uniform Securities Agent State Law Examination
  2004-05-10

Other Names

• Viktoria Irena Strasek
• Viktoria Irena Palermo
• Viktoria Irena Palermo