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Timothy A Humphrey

Rock Point Advisors, LLC

Burlington, VT

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Current Employers
Rock Point Advisors, Llc

77 College Street, 4Th Floor, Burlington, VT 05401-4014 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-04-26
LA RA APPROVED 2016-03-14
VT RA APPROVED 2015-03-13
  • TX RA
    APPROVED
    Since 2022-04-26
  • LA RA
    APPROVED
    Since 2016-03-14
  • VT RA
    APPROVED
    Since 2015-03-13

Branch Locations

77 College Street, Burlington, VT 05401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rock Point Advisors, Llc Burlington VT 02/2015 Present
Previous Registrations
  • 2012-05-09 → 2015-03-11
    Barclays Capital Inc.
    Boston, MA
  • 2008-12-08 → 2012-05-15
    J.P. Morgan Securities Llc
    New York, NY
    Boston, MA
    New York, NY
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-10
  • S66 Uniform Combined State Law Examination
    2008-11-10
Designations

View on SEC IAPD

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