Brian Applegate


Chief Compliance Officer

HighMark Capital Management

Brian T. Applegate is the Chief Compliance Officer for HighMark Capital Management, where he is responsible for establishing, monitoring and enforcing all policies related to regulatory compliance, portfolio compliance and the code of ethics. Before joining HighMark, Brian was employed by the Securities and Exchange Commission where he was involved in regulatory examinations of Registered Investment Advisors and Funds.  He was previously the Chief Compliance Officer for ShareBuilder Securities and ShareBuilder Advisors, Chief Compliance Officer for WaMu Capital Corp., and prior to those roles served in a range of compliance positions for broker-dealers, banks, and a mutual fund family.  A graduate of the University of Washington, Brian has completed the FINRA Institute at the Wharton School’s Certified Regulatory and Compliance Professional (CRCP) program, and is a Certified Anti-Money Laundering Specialist (CAMS).  Brian first joined NSCP as a member in 1998.


Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org