Timothy A. Humphrey

ROCK POINT ADVISORS

BURLINGTON, VT 05401

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CRD#: 5568212

Professional summary

Timothy A Humphrey, CFP® is a registered financial advisor currently at ROCK POINT ADVISORS, LLC located in Burlington, Vermont.

Timothy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Timothy has worked at 4 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy A Humphrey'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

Start date: 2020

Experience

Current

March 13, 2015 - Present

ROCK POINT ADVISORS, LLC

Office #1: 77 College Street, Burlington, VT 05401

RIA

CRD#: 130825

BURLINGTON, VT

Past

May 9, 2012 - March 11, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

BOSTON, MA

Past

May 9, 2012 - March 11, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

BOSTON, MA

Past

December 8, 2008 - May 15, 2012

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

BOSTON, MA

Past

October 1, 2008 - May 25, 2012

J.P. MORGAN SECURITIES LLC

CRD#: 79

BOSTON, MA

Past

September 1, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

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".

ROCK POINT ADVISORS, LLC

GLENWOOD INVESTMENT ADVISORS | ROCK POINT ADVISORS, LLC | HUFFMAN, MICHAEL LEIGHTON

CRD#: 130825 / SEC#: 801-62923

RIA

Registered Investment Advisory firm - (4/30/2004 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

Louisiana
(3/14/2016)

IAR

Texas
(4/26/2022)

IAR

Vermont
(3/13/2015)

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 66

Date: 11/10/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/2/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/29/2008

General Securities Representative Examination

Current Firm

ROCK POINT ADVISORS, LLC

GLENWOOD INVESTMENT ADVISORS | ROCK POINT ADVISORS, LLC | HUFFMAN, MICHAEL LEIGHTON

CRD#: 130825 / SEC#: 801-62923

RIA

Registered Investment Advisory firm - (4/30/2004 Approved)

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Contact information

Main Address

77 College Street 4th Floor, Burlington, VT, 05401-4014

Mailing Address

Phone number

(802) 864-2266

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROCK POINT ADVISORS, LLC BROCHURE ADV PART 2A AND 2B (3/27/2025)

Regulatory assets under management

Total Number of Accounts	474
AUM (Assets Under Management)	$ 560,398,407

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.

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Firm Stability Insights

Timothy A. Humphrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Timothy A Humphrey's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

Primary Firm SEC Registration

ROCK POINT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2008

SIE

Date: 3/11/2015

Series 3

Date: 5/2/2014

Series 7

Date: 8/29/2008

Current Firm

ROCK POINT ADVISORS, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROCK POINT ADVISORS, LLC

TRUST BUT VERIFY

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