Timothy Humphrey has been Wealth Manager of Rock Point Advisors since December 2019, is a control person of the firm and directly owns between 10% and 25% of it. Timothy Humphrey holds a B.S. in Information Systems and Business from Saint Michael's College.
Rock Point Advisors, LLC is a Burlington, VT firm with $656M under management, 243 clients and 5 advisers in one office, as of its March 2026 filing.
Timothy A. Humphrey is Financial Advisor of Rock Point Advisors. He manages client relationships and portfolios and serves on the firm's Investment Committee. He joined Rock Point Advisors in 2015, after more than ten years of advising and investing for clients, including time with Barclays and J.P. Morgan in Boston.
Timothy Humphrey’s longest registration is the current one, 11 years at Rock Point Advisors since 2015. Before joining Rock Point Advisors in 2015, Timothy Humphrey was registered through Barclays Capital Inc. and J.P. Morgan Securities LLC.
- Rock Point Advisors, LLCCurrent– present · 11 yearsBurlington, VT · Adviser representative · Firm CRD 130825
- Barclays Capital Inc.– · 2 yearsBoston, MA · Adviser representative · Firm CRD 19714
- J.P. Morgan Securities LLC– · 3 yearsBoston, MA · Adviser representative · Firm CRD 79
Professional designations
Listed by Rock Point Advisors
- Chartered Financial Analyst (CFA®)
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Timothy Humphrey is registered as an investment adviser representative in 3 states. The first approvals date from March 2015; the most recent is Texas, in April 2022.
- LouisianaSince 14 March 2016
- TexasSince 26 April 2022
- VermontSince 13 March 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 2 May 2014 |
| Series 66 | Uniform Combined State Law Examination | 10 November 2008 |
| Series 7 | General Securities Representative Examination | 29 August 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Timothy A Humphrey
- CRD
- 5568212
- Firm
- Rock Point Advisors · CRD 130825
- Role
- Wealth Manager
- Office
- 77 COLLEGE STREET, Burlington, VT 05401
- Registration
- Investment adviser registration
- In the industry since
- December 2008
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- rockpointadvisors.com
Where does Timothy Humphrey work?
Timothy Humphrey has been Wealth Manager of Rock Point Advisors, LLC since December 2019, and is a control person of the firm.
Is Timothy Humphrey a financial advisor?
Yes. Timothy Humphrey has a current investment-adviser registration in Louisiana, Texas and Vermont, through Rock Point Advisors since March 2015.
How many years of experience does Timothy Humphrey have?
Timothy Humphrey has 17 years in the financial industry, since December 2008, across 3 adviser firms.
What exams has Timothy Humphrey passed?
Timothy Humphrey has passed 3 licensing exams: the Series 7, Series 66 and Series 3. The earliest, the Series 7, was passed in August 2008. FINRA credited Timothy Humphrey with the SIE, which began in October 2018.
Where did Timothy Humphrey work before Rock Point Advisors?
Before Rock Point Advisors, Timothy Humphrey was registered through Barclays Capital Inc., May 2012 to March 2015; J.P. Morgan Securities LLC, December 2008 to May 2012.
Where is Timothy Humphrey based?
Timothy Humphrey’s registered office is in Burlington, VT.
Is Timothy Humphrey registered with FINRA?
No. Timothy Humphrey has no current broker registration.
Is Timothy Humphrey a CFP?
Rock Point Advisors lists Timothy Humphrey with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Timothy A. Humphrey biography, rockpointadvisors.com
Is Timothy Humphrey a CFA charterholder?
Rock Point Advisors lists Timothy Humphrey with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
Source: Timothy A. Humphrey biography, rockpointadvisors.com
How can I verify Timothy Humphrey’s record?
Search CRD 5568212 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Timothy Humphrey’s full registration record.
