Diane Rankin

Diane Rankin is a Bates Consulting Expert with over 30 years of experience in the financial services industry. Starting her financial career as a broker at Sherson Lehman Hutton, and then as a registered representative at Fidelity Investments, she served 20 years as a branch manager with Fidelity, giving her vast expertise in the brokerage business, mutual funds, operations, compliance, HR issues, and suitability, around individual securities (including fixed income), mutual funds, RIAs, retirement plans, and annuities.

Her supervisory responsibilities included the review of all new accounts, back- office operations, including cash movement, suitability and approval of all investment recommendations and retirement income plans, monitoring Solicited vs. Unsolicited trades, suitability of managed investment products, including the separation of brokerage vs RIA responsibilities, suitability of insurance products, both fixed and variable, resolving customer complaints, insuring adherence to all required compliance directives, and defending the firm against fraud attempts.

Beginning in 2015, Diane served for 8 years as a Senior Vice President with Northern Trust, where she worked with Northern’s various divisions, including Brokerage, Trust, Banking, Real Estate, Estate Settlement, and Advisory practices. With her extensive background in fraud prevention, she served as a first line of defense against fraud attempts, including working with the FBI on a significant financial matter.