Diane K Rule

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2009 → 06/2018
  Lpl Financial, Llc
  Gloucester, MA
• 07/2020 → Present
  The Patriot Financial Group
  Gloucester, MA
• 06/2018 → 12/2022
  Securities America, Inc.
  Gloucester, MA
• 07/2020 → Present
  Rule Financial Services
  Gloucester, MA
• 12/2022 → Present
  Cetera Financial Specialists Llc
  Schaumburg, IL
• 12/2022 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2009-03-10 → 2018-07-05
  Lpl Financial Llc
  Beveely, MA
  Charlotte, NC
  Gloucester, MA
  Essex, MA
• 2008-06-24 → 2009-02-27
  Osaic Fs, Inc.
  Beverly, MA
  Jamaica Plain, MA

Other Businesses

1) THE PATRIOT FINANCIAL GROUP LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBA THE PATRIOT FINANCIAL GROUP, REGISTERED INVESTMENT ADVISER, FINANCIAL PLANNING, ASSET MANAGEMENT, 10H/WEEK, 10H/WEEK DURING TRADING HOURS, SINCE 07/2020 2) JD REALTY CORP, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER OF RENTAL PROPERTY IN MISSOURI, 1H/WEEK, SINCE 01/1997. 3) RULE FINANCIAL SERVICES, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, ADVISORY BUSINESS, FINANCIAL SERVICES, 40H/WEEK, SINCE 07/2020 4) FIXED INSURANCE, NOT INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, HEALTH INSURANCE, 10H/WEEK, SINCE 11/1998.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-06-03
• S63 Uniform Securities Agent State Law Examination
  1991-03-06

Other Names

• Diane Kay Rule
• Diane Kay Rule-Enos