Richard R. Applegate

D.B. ROOT & COMPANY

PITTSBURGH, PA 15219

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CRD#: 821789

Professional summary

Richard Read Applegate, CFP®, who also goes by Rick Applegate, is a registered financial advisor currently at D.B. ROOT & COMPANY, LLC located in Pittsburgh, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Richard has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Applegate

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) Licensed insurance agent (2) Acting. Not Investment Related. 2812 Ridge Drive, Allison Park, PA 15101. Acting in films or TV productions. 8 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Read Applegate'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®

CFP^®

Certified Financial Planner

Experience

Current

January 10, 2018 - Present

D.B. ROOT & COMPANY, LLC

Office #1: 436 Seventh Avenue Suite 2800, Pittsburgh, PA 15219

RIA

CRD#: 188512

PITTSBURGH, PA

Past

January 8, 2018 - March 14, 2019

R. APPLEGATE & ASSOCIATES LLC

RIA

CRD#: 290992

PITTSBURGH, PA

Past

April 2, 2015 - January 4, 2018

CANTOR FITZGERALD WEALTH PARTNERS, LLC

RIA

CRD#: 167479

PITTSBURGH, PA

Past

April 21, 2014 - November 2, 2020

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Pittsburgh, PA

Past

June 7, 2010 - April 9, 2014

ESSEX NATIONAL SECURITIES, LLC

RIA

CRD#: 25454

WEXFORD, PA

Past

May 28, 2010 - April 9, 2014

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

WEXFORD, PA

Past

February 26, 2008 - June 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WEXFORD, PA

Past

June 26, 2002 - November 26, 2002

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

WEXFORD, PA

Past

March 12, 2002 - June 2, 2010

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

WEXFORD, PA

Past

January 31, 1997 - November 12, 2014

FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.

RIA

CRD#: 111505

WEXFORD, PA

Past

January 20, 1997 - October 9, 1997

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

January 13, 1997 - April 1, 2002

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

October 26, 1992 - July 26, 1993

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

September 16, 1992 - January 20, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

January 23, 1989 - September 23, 1992

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

Past

September 21, 1987 - September 15, 1992

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

Past

November 20, 1985 - September 23, 1992

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

PITTSBURGH, PA

Past

October 11, 1985 - August 18, 1988

ALLEGHENY INVESTMENTS, LTD.

CRD#: 7597

Past

May 31, 1983 - September 15, 1992

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

October 20, 1980 - August 29, 1983

EQUITABLE ADVISORS, LLC

CRD#: 6627

Past

May 3, 1976 - August 29, 1983

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

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".

D.B. ROOT & COMPANY, LLC

CRD#: 188512 / SEC#: 801-106632

RIA

Registered Investment Advisory firm - (9/11/2015 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(1/10/2018)

IAR

Texas
(7/31/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1983

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: 11/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/26/1976

Registered Representative Examination

Current Firm

D.B. ROOT & COMPANY, LLC

CRD#: 188512 / SEC#: 801-106632

RIA

Registered Investment Advisory firm - (9/11/2015 Approved)

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Contact information

Main Address

436 Seventh Avenue Suite 2800, Pittsburgh, PA 15219

Mailing Address

Phone number

(412) 227-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

D.B. ROOT & COMPANY, LLC DISCLOSURE BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	2,536
AUM (Assets Under Management)	$ 829,797,025

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard R. Applegate

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Read Applegate's CRS (Customer Relationship Summary).

Certified licenses

Experience

R. APPLEGATE & ASSOCIATES LLC

CANTOR FITZGERALD WEALTH PARTNERS, LLC

PURSHE KAPLAN STERLING INVESTMENTS

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.

JOHN HANCOCK DISTRIBUTORS LLC

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

KEOGLER, MORGAN & COMPANY, INC.

ALLEGHENY INVESTMENTS, LTD.

JOHN HANCOCK DISTRIBUTORS LLC

ALLEGHENY INVESTMENTS, LTD.

ALLEGHENY INVESTMENTS, LTD.

JOHN HANCOCK DISTRIBUTORS LLC

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

D.B. ROOT & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/1996

Series 63

Date: 8/15/1983

SIE

Date: 10/1/2018

Series 7

Date: 11/16/1985

Series 1

Date: 4/26/1976

Current Firm

D.B. ROOT & COMPANY, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

D.B. ROOT & COMPANY, LLC

TRUST BUT VERIFY

Contact information

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