Richard Applegate has been an investment adviser representative at D.B. Root & Company since January 2018, and is not listed among the firm’s executive officers or direct owners.
D.B. Root & Company, LLC is a Pittsburgh, PA firm with $952M under management, 777 clients and 15 advisers across 2 offices, as of its June 2026 filing.
Richard Applegate’s longest registration was 17 years at First Commonwealth Financial Advisors, Inc. (1997–2014). Before joining D.B. Root & Company in 2018, Richard Applegate was registered through R. Applegate & Associates LLC and Cantor Fitzgerald Wealth Partners, LLC.
- D.B. Root & Company, LLCCurrent– present · 8 yearsPittsburgh, PA · Adviser representative · Firm CRD 188512
- R. Applegate & Associates LLC– · 1 yearPittsburgh, PA · Adviser representative · Firm CRD 290992
- Cantor Fitzgerald Wealth Partners, LLC– · 2 yearsPittsburgh, PA · Adviser representative · Firm CRD 167479
- Essex National Securities, LLC– · 3 yearsWexford, PA · Adviser representative · Firm CRD 25454
- Uvest Financial Services Group, Inc.– · 2 yearsWexford, PA · Adviser representative · Firm CRD 13787
- Uvest Financial Services and/Or Compass Capital– · under a yearWexford, PA · Adviser representative · Firm CRD 13787
- First Commonwealth Financial Advisors, Inc.– · 17 yearsWexford, PA · Adviser representative · Firm CRD 111505
Investment adviser representative registrations
Richard Applegate is registered as an investment adviser representative in 2 states. The first approvals date from January 2018; the most recent is Texas, in July 2019.
- PennsylvaniaSince 10 January 2018
- TexasSince 31 July 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 15 October 1996 |
| Series 7 | General Securities Representative Examination | 16 November 1985 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 August 1983 |
| Series 1 | Registered Representative Examination | 26 April 1976 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Registered Representative Examination
- Full name
- Richard Read Applegate
- CRD
- 821789
- Firm
- D.B. Root & Company · CRD 188512
- Office
- 436 SEVENTH AVENUE, SUITE 2800, Pittsburgh, PA 15219
- Registration
- Investment adviser registration
- In the industry since
- May 1976
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Applegate work?
Richard Applegate is an investment adviser representative registered through D.B. Root & Company, LLC since January 2018, and is not listed among the firm’s executive officers or direct owners.
Is Richard Applegate a financial advisor?
Yes. Richard Applegate has a current investment-adviser registration in Pennsylvania and Texas, through D.B. Root & Company since January 2018.
How many years of experience does Richard Applegate have?
Richard Applegate has 50 years in the financial industry, since May 1976, across 6 adviser firms.
What exams has Richard Applegate passed?
Richard Applegate has passed 4 licensing exams: the Series 1, Series 63, Series 7 and Series 65. The earliest, the Series 1, was passed in April 1976. FINRA credited Richard Applegate with the SIE, which began in October 2018.
Where did Richard Applegate work before D.B. Root & Company?
Before D.B. Root & Company, Richard Applegate was registered through Cantor Fitzgerald Wealth Partners, LLC, April 2015 to January 2018; Essex National Securities, LLC, June 2010 to April 2014; Uvest Financial Services Group, Inc., February 2008 to June 2010; Uvest Financial Services and/Or Compass Capital, June 2002 to November 2002; First Commonwealth Financial Advisors, Inc., January 1997 to November 2014.
Where is Richard Applegate based?
Richard Applegate’s registered office is in Pittsburgh, PA.
Is Richard Applegate registered with FINRA?
No. Richard Applegate has no current broker registration.
How can I verify Richard Applegate’s record?
Search CRD 821789 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Applegate’s full registration record.
David RootChief Executive- Heather OstrowskiChief Financial Officer
Jesse RootChief Operating Officer- Richard ChenChief Compliance Officer
Michael AroestyChief Investment Officer