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With the complexity of today's markets and uncertainty about tomorrow's economy, good financial advice is more important than ever. As a team of dedicated Financial Advisors, we're committed to helping you organize your finances around your short term needs, your longer-term goals and what you envision for generations to come. Our knowledgeable perspective, good judgement and broad experience can help you meet your challenges and seize opportunities.

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Pursuing your goals together

Our mission is to provide quality strategies customized to your needs. Our goal is to be your primary source of financial advice. To this end, we concentrate our efforts on developing long-term relationships through a commitment to quality client service.

  • Peter-Humphrey

    Peter Humphrey

    Senior Vice President–Wealth Management

    Senior Portfolio Manager

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    • AZ
    • CA
    • CO
    • CT
    • DC
    • DE
    • FL
    • GA
    • ID
    • IN
    • KY
    • MA
    • ME
    • MO
    • MS
    • NC
    • NH
    • NY
    • PA
    • RI
    • SC
    • TX
    • UT
    • VT
    • WA

    Peter has more than 45 years of experience in the financial services industry. Prior to opening the New London branch 30 years ago, he worked as First Vice President and Branch Manager at both E.F. Hutton & Co. and Advest. As a founding member of Humphrey & Roccon Wealth Management, Peter advises high net worth individuals and their families and consults with corporations, foundations and charitable institutions throughout the United States. Having witnessed and weathered over four decades of changing market conditions, Peter is truly an experienced professional whose patience and financial acumen inform all facets of Humphrey & Roccon Wealth Management.

    Humphrey & Roccon Wealth Management’s investment process represents the culmination of many years of experience managing portfolios, resulting in a distinct sensitivity to clients’ needs. Peter and his team take a holistic approach and are committed to attentive consideration of each client’s individual circumstances, among them, cashflow requirements, investment preferences, familial and charitable concerns, risk/reward parameters and time horizon. These dictate the structure of a client’s financial plan and help determine those investment vehicles most appropriately aligned with stated goals and objectives. Investment solutions include unique, adaptive strategies, constructed and informed by the irrefutable law of supply and demand, specifically formulated to address a client’s need for income generation, a balance of income and growth or pure capital appreciation. Capital preservation is at the heart of all decision-making, with an emphasis on continuously gauging and managing risk. The group’s client service platform ensures constant contact and monitoring and allows for realignment as a client’s priorities shift over time. Peter’s goal, together with his team and the vast resources of UBS, is to provide clients with the most comfortable, comprehensive and professional service, building relationships to last a lifetime.

    In addition to his role as Branch Manager at UBS and various other firms, Peter also served as the Eastern Division’s Options Coordinator at E.F. Hutton & Co. Peter is a charter member of UBS Financial Services Inc. National Managed Accounts Advisory Council and the UBS Financial Services Inc. Retirement Planning Consultant Network, a nationwide group of investment executives who concentrate on retirement planning. He has also been featured as a guest speaker and lecturer about the securities industry, portfolio management and risk reduction techniques to public and professional organizations, universities, college endowments and municipalities around the country.

    Peter earned a bachelor’s degree in economics from the Wharton School of the University of Pennsylvania. He holds the Series 7, 8, 63 and 65 securities licenses and is a Registered Options Principal. He is also a licensed life insurance and annuity agent. Peter and his wife, Laurie, live in Stonington, CT. He has two daughters, Priscilla and Amy, while Laurie, has two sons, Zachary and Maxx. Peter is a member of The Misquamicut Club in Watch Hill, RI and the Dye Preserve in Jupiter, FL. He is also a member of the Board of Directors of both the Westerly Hospital Foundation and The Pointe at The Jupiter Yacht Club, Jupiter FL.

     

      • University of Pennsylvania, Wharton School of Finance, B.S. Economics
      • Senior Portfolio Manager
      • CA Insurance License #0D33189
      Home Worker FL
      Home Worker FL, FL 000
    • Jean-Roccon-Rohm

      Jean Roccon Rohm, CPM

      First Vice President–Wealth Management

      Senior Portfolio Manager

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      • CA
      • CO
      • CT
      • DC
      • DE
      • FL
      • GA
      • ID
      • IN
      • KY
      • LA
      • MA
      • ME
      • NC
      • NH
      • NY
      • PA
      • RI
      • SC
      • TX
      • UT
      • VT
      • WA

      A founding partner of Humphrey & Roccon Wealth Management, Jeanne has over three decades of experience in advising high net worth investors and their extended families, corporations, municipalities, foundations, endowments and charitable institutions in addressing major financial transitions. In the early 1980’s, she trained as one of 30 Consulting Associates with E.F. Hutton, pioneering a paradigm shift in the industry, and served as the original Divisional Managed Accounts Consultant for UBS’ New England region from 1985-1990. She also served multiple terms on the UBS Financial Service Inc. National Managed Accounts Advisory Council and is a charter member of the UBS Financial Services Inc. Retirement Planning Consultant Network. Jeanne is a major contributor to Humphrey & Roccon Wealth Management's proprietary, client-driven approach to investments, as well as to adapting myriad technological tools in service of the team's investment strategy.

        • Allegheny College, Bachelor's degree in history
        • Allegheny College, Recipient of the History Prize for her Senior Comprehensive Thesis
        • Senior Portfolio Manager
        • Certified Portfolio Manager®
        • CA Insurance License #0D33188
        UBS Financial Services Inc.
        2 Union Plaza
        New London, CT 06320
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        Kristie Gavitt

        Wealth Management Associate

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        • CA
        • CT
        • FL
        • GA
        • MA
        • NC
        • PA
        • RI
        • SC

        Kristie has been a member of Humphrey, Buxton & Roccon Wealth Management for over 15 years as our Wealth Management Associate. She executes all trading activity for the teams managed account portfolios as well as assuring that every aspect of our clients' financial needs are met in a timely and comfortable manner.  Kristie holds Series 7 and 66 securities licenses and has completed the Travel and Tourism Program at The Sawyer School of Business in Warwick Rhode Island. She also attended the Community College of Rhode Island for an associate degree in Finance.

              2 Union Plaza
              New London, CT 06320
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              Lorene Thompson

              Senior Wealth Strategy Associate

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              • CA
              • CO
              • CT
              • MA
              • ME

                    2 Union Plaza
                    New London, CT 06320

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