Richard Applegate, financial advisor Pittsburgh PA

Richard Applegate

CRD Number: 821789
Current Firm: D.b. Root & Company, LLC

Richard Applegate (CRD# 821789) is an Investment Advisor Representative working at D.b. Root & Company, LLC in Pittsburgh, PA and has over 40 years of experience in the finance industry. Richard Applegate has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
D.b. Root & Company, LLC Pittsburgh, PA Jan 2018 - Current 6
Purshe Kaplan Sterling Investments Pittsburgh, PA Apr 2014 - Current 9
R. Applegate & Associates, LLC Allison Park, PA Jan 2018 - Dec 2018 < 1
Cantor Fitzgerald Wealth Partners New York, NY Apr 2014 - Dec 2017 3
Essex National Securities, Inc. Napa, CA May 2010 - Apr 2014 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1983
S65 NASAA Investment Advisors Law Examination Oct 1996
Contact Info for Richard R. Applegate
Phone Number: 412-227-2800
Registered State(s):
  • PA
  • TX
By the Numbers
  • Total Assets Under Management
    714
    MILLIONS
  • Total Number of Accounts
    2,441
    ACCOUNTS
  • Average Account Value
    $292,310
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, CO, FL, GA, IL, LA, MA, MD, NC, NJ, NY, OH, PA, SC, TX, VA, WV

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