Senior Vice President–Wealth Management
Senior Portfolio Manager
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.
First Vice President–Wealth Management
Senior Portfolio Manager
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.
Wealth Management Associate
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.