DR
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Diane K Rule

33 Years of Experience
BrokerSells Insurance
Areas of Practice
Retirement PlanningFinancial Planning & CoachingInvestment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
10087 advisors
Number of Clients
584,487 clients
Average Client Portfolio
$280K average
Assets Under Management
$163.8B

Fee Structure

Minimum Investment:$5K
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Location

Gloucester, MA

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Diane is involved in several business activities, including The Patriot Financial Group LLC (financial planning and asset management), JD Realty Corp (rental property), and Rule Financial Services (advisory business). She also sells health insurance, dedicating a few hours per week to this activity.

Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2023 - Present · 3 yrs 1 mo
Cetera Financial Specialists LLCBroker
December 2022 - Present · 3 yrs 2 mos
The Patriot Financial Group, LLC
January 2017 - Present · 9 yrs 1 mo
Previous Registrations
Securities America, INC.Broker
June 2018 - December 2022 · 4 yrs 6 mos
LPL Financial LLC
March 2009 - July 2018 · 9 yrs 4 mos
LPL Financial LLCBroker
February 2009 - July 2018 · 9 yrs 5 mos
Lincoln Financial Securities Corporation
June 2008 - February 2009 · 8 mos
Lincoln Financial Securities CorporationBroker
April 2005 - February 2009 · 3 yrs 10 mos
1717 Capital Management CompanyBroker
October 2000 - April 2005 · 4 yrs 6 mos
Nylife Securities INC.Broker
December 1992 - October 2000 · 7 yrs 10 mos
Equico Securities, INC.Broker
March 1992 - October 1992 · 7 mos
The Equitable Life Assurance Society of the United StatesBroker
March 1992 - October 1992 · 7 mos
State Registrations11 states
CTFLILMAMEMONHNMPASCVA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.
Diane K Rule - Financial Advisor | TrueAdvisor