VP
Viktoria I. Palermo
DUNHAM
San Diego, CA 92122
Some features on this profile are disabled
CRD#: 4769903
VP
Professional summary
Viktoria Irena Palermo, who also goes by VIktoria Irena Strasek, is a registered financial advisor currently at DUNHAM located in San Diego, California.
Viktoria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Viktoria has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 14, Series 4, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Viktoria Irena Strasek
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 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. 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. BSA/AML COMPLIANCE OFFICER, DUNHAM TRUST COMPANY ("DTC") FROM SEPTEMBER 2021 TO PRESENT. DTC 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. DTC IS LOCATED AT 200 S VIRGINIA ST #400, RENO, NEVADA 89501.
CRS (Client Relationship Summary) - RIA
Click below to view Viktoria Irena Palermo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Viktoria Irena Palermo'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
September 28, 2021 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122RIA
BD
CRD#: 13162
San Diego, CA
Current
September 28, 2021 - Present
DUNHAM
Office #1: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #2: 6256 Greenwich Drive Suite 550, San Diego, CA 92122Office #3: 6256 Greenwich Drive Suite 550, San Diego, CA 92122RIA
BD
CRD#: 13162
San Diego, CA
Past
September 1, 2020 - September 22, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
September 1, 2020 - September 22, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
May 27, 2014 - December 31, 2020
LUCIA CAPITAL GROUP
RIA
CRD#: 152396
SAN DIEGO, CA
Past
May 27, 2014 - January 5, 2021
LUCIA SECURITIES, LLC
BD
CRD#: 37179
SAN DIEGO, CA
Past
July 2, 2012 - January 2, 2013
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
SAN DIEGO, CA
Past
September 15, 2009 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
SAN DIEGO, CA
Past
September 15, 2009 - November 7, 2012
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
SAN DIEGO, CA
Past
March 27, 2007 - September 18, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
February 28, 2005 - September 18, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
Past
March 19, 2004 - February 17, 2005
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
BD
CRD#: 35878
CARLSBAD, CA
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".
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles 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
California(9/28/2021)
IAR
California(9/28/2021)
RR
Nevada(4/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DU
DUNHAM
DUNHAM | LAGUNA FINANCIAL SERVICES, INC. | DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC. | DUNHAM & GREER, INC. INVESTMENT COUNSEL | DUNHAM & GREER INVESTMENT COUNSEL | DUNHAM & ASSOCIATES INVESTMENT COUNSEL, INC.
CRD#: 13162 / SEC#: 801-25803, 8-28527
RIA
Registered Investment Advisory firm - SEC (11/29/1985 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
6256 Greenwich Drive Suite 550, San Diego, CA 92122
Mailing Address
P.o. Box 910309, San Diego, CA 92191
Phone number
(858) 964-0500
Established
California since 05/26/1982
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
39
SEC notice filing (10 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DUNHAM & ASSOCIATES HOLDINGS, INC. | SHAREHOLDER | |
| BOISCH, HELMUT | CHIEF OPERATIONS OFFICER | 5371920 |
| CAPIZZI, SALVATORE MICHAEL | CHIEF SALES AND MARKETING OFFICER | 1037757 |
| DUNHAM, JEFFREY ALAN | CHIEF EXECUTIVE OFFICER | 1149167 |
| DYKMANS, RYAN JOHN | PRESIDENT AND CHIEF INVESTMENT OFFICER | 4847419 |
| GARDYNE, JENNIFER KIM | CHIEF FINANCIAL OFFICER | 8188759 |
| PALERMO, VIKTORIA IRENA | CHIEF COMPLIANCE OFFICER | 4769903 |
Regulatory assets under management
| Total Number of Accounts | 12,032 |
| AUM (Assets Under Management) | $ 4,737,607,372 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/29/2025 | ||
| 10/23/2024 | ||
| 07/26/2023 |
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.
