Adam D. Gafner

TITLETOWN WEALTH MANAGEMENT

Green Bay, WI 54302

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CRD#: 4876791

Professional summary

Adam David Gafner, AIF®, who also goes by Adam Gafner, is a registered financial advisor currently at TITLETOWN WEALTH MANAGEMENT, LLC located in Green Bay, Wisconsin and CONCEPTUAL FINANCIAL ADVISORS, LLC located in Green Bay, Wisconsin.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Adam has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Gafner

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.

1) INDEPEDENT INSURANCE AGENT, INVESTMENT RELATED, INSURANCE SALES, 10 HOURS PER MONTH, ALL DURING TRADING HOURS, SALES OF INSURANCE PRODUCTS. 2) TITLETOWN WEALTH MANAGEMENT; INVESTMENT RELATED: YES; GREEN BAY, WISCONSIN; INVESTMENT ADVISOR REP; UP TO 160 HOURS MONTH DURING TRADING HOURS; 5/2020

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam David Gafner'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

May 29, 2020 - Present

TITLETOWN WEALTH MANAGEMENT, LLC

Office #1: 1221 Bellevue Street Suite 102, Green Bay, WI 54302

RIA

CRD#: 307752

Green Bay, WI

Current

January 3, 2023 - Present

CONCEPTUAL FINANCIAL ADVISORS, LLC

Office #1: 1221 Bellevue Street Suite 102, Green Bay, WI 54302

RIA

CRD#: 167513

GREEN BAY, WI

Past

June 7, 2021 - December 31, 2021

KEY FINANCIAL GROUP OF JACKSONVILLE, INC.

RIA

CRD#: 142356

GREEN BAY, WI

Past

October 23, 2017 - May 29, 2020

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

GREEN BAY, WI

Past

October 23, 2017 - May 29, 2020

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

GREEN BAY, WI

Past

July 27, 2015 - October 31, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

GREEN BAY, WI

Past

July 27, 2015 - October 31, 2017

LPL FINANCIAL LLC

CRD#: 6413

GREEN BAY, WI

Past

April 21, 2008 - July 1, 2015

ASSOCIATED INVESTMENT SERVICES, INC.

RIA

CRD#: 1464

CRANDON, WI

Past

April 21, 2008 - July 1, 2015

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464

CRANDON, WI

Past

November 8, 2006 - September 24, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHARLOTTE, NC

Past

April 4, 2005 - June 7, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 27, 2005 - April 6, 2005

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

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".

CONCEPTUAL FINANCIAL ADVISORS, LLC

CRD#: 167513 / SEC#: 801-123428

RIA

Registered Investment Advisory firm - (4/19/2022 Approved)

Wisconsin

Registered Investment Advisory firm - (5/2/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(6/17/2020)

IAR

Wisconsin
(5/29/2020)

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 65

Date: 6/15/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/22/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/24/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/26/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CONCEPTUAL FINANCIAL ADVISORS, LLC

CRD#: 167513 / SEC#: 801-123428

RIA

Registered Investment Advisory firm - (4/19/2022 Approved)

Wisconsin

Registered Investment Advisory firm - (5/2/2022 Terminated)

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Contact information

Main Address

2561 E. Calumet St., Appleton, WI 54915

Mailing Address

Phone number

(920) 731-9500

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (1/13/2025)

PART 2A (1/13/2025)

Regulatory assets under management

Total Number of Accounts	713
AUM (Assets Under Management)	$ 163,575,190

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

Adam D. Gafner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam David Gafner's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCEPTUAL FINANCIAL ADVISORS, LLC

KEY FINANCIAL GROUP OF JACKSONVILLE, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ASSOCIATED INVESTMENT SERVICES, INC.

ASSOCIATED INVESTMENT SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MORGAN STANLEY DW INC.

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

CONCEPTUAL FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/15/2005

Series 63

Date: 12/15/2004

SIE

Date: 10/1/2018

Series 31

Date: 6/22/2005

Series 7

Date: 5/24/2005

Series 6

Date: 1/26/2005

Current Firm

CONCEPTUAL FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONCEPTUAL FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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