Rochelle Dungca-schreiber
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.
Rochelle Dungca-schreiber, who also goes by Rochelle Dungca Brunetto, Rochelle Dungca, was a registered financial professional .
Rochelle is a previously registered financial professional and started their career in finance in 1997. Rochelle had worked at 7 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2024 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
July 22, 2024 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
July 22, 2024 - August 1, 2025
CADARET, GRANT & CO., INC.
March 21, 2016 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
March 18, 2016 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
October 1, 2007 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
October 1, 2007 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
May 29, 2007 - October 12, 2007
CITIGROUP GLOBAL MARKETS INC.
August 31, 2000 - October 12, 2007
CITIGROUP GLOBAL MARKETS INC.
July 14, 1999 - August 29, 1999
CUSO FINANCIAL SERVICES, L.P.
April 2, 1997 - July 16, 1999
SENTRA SECURITIES CORPORATION
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 52TO
Date: 6/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
