Diane K. Rule

THE PATRIOT FINANCIAL GROUP

Gloucester, MA

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CRD#: 2117061

Professional summary

Diane K Rule, who also goes by Diane Kay Rule, Diane Kay Rule-enos, is a registered financial advisor currently at THE PATRIOT FINANCIAL GROUP, LLC located in Gloucester, Massachusetts and CETERA INVESTMENT ADVISERS LLC located in Gloucester, Massachusetts.

Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Diane has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane Kay Rule | Diane Kay Rule-Enos

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.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane K Rule's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 6, 2017 - Present

THE PATRIOT FINANCIAL GROUP, LLC

RIA

CRD#: 172470

Gloucester, MA

Current

January 3, 2023 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

GLOUCESTER, MA

Current

December 15, 2022 - Present

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

GLOUCESTER, MA

Past

June 29, 2018 - December 15, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

GLOUCESTER, MA

Past

March 10, 2009 - July 5, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

GLOUCESTER, MA

Past

February 27, 2009 - July 5, 2018

LPL FINANCIAL LLC

CRD#: 6413

GLOUCESTER, MA

Past

June 24, 2008 - February 27, 2009

OSAIC FS, INC.

RIA

CRD#: 3870

BEVERLY, MA

Past

April 1, 2005 - February 27, 2009

OSAIC FS, INC.

CRD#: 3870

BEVERLY, MA

Past

October 23, 2000 - April 5, 2005

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

December 24, 1992 - October 26, 2000

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

March 9, 1992 - October 20, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 9, 1992 - October 20, 1992

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

Connecticut
(12/15/2022)

Florida
(8/5/2025)

Illinois
(6/2/2023)

Maine
(12/15/2022)

IAR

Massachusetts
(1/6/2017)

Massachusetts
(12/15/2022)

Missouri
(12/15/2022)

New Hampshire
(12/15/2022)

New Mexico
(5/7/2025)

Pennsylvania
(12/15/2022)

South Carolina
(12/15/2022)

Virginia
(12/15/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/3/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/4/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/5/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Diane K. Rule

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane K Rule's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

SECURITIES AMERICA, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FS, INC.

OSAIC FS, INC.

1717 CAPITAL MANAGEMENT COMPANY

NYLIFE SECURITIES LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/3/2008

Series 63

Date: 3/6/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/4/2005

Series 6

Date: 3/5/1992

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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