Maxwell A. Bigler

FINANCIAL PLANS & STRATEGIES

Greenwood, IN 46142-3636

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CRD#: 7663984

Professional summary

Maxwell Alexander Bigler, who also goes by Max Bigler, is a registered financial advisor currently at FINANCIAL PLANS & STRATEGIES, INC. located in Greenwood, Indiana.

Maxwell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Maxwell has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Max Bigler

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 Maxwell Alexander Bigler'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®

None

Experience

Current

November 30, 2023 - Present

FINANCIAL PLANS & STRATEGIES, INC.

Office #1: 375 N. Madison Avenue, Greenwood, IN 46142-3636

RIA

CRD#: 123793

Greenwood, IN

Past

April 15, 2023 - August 28, 2023

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

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".

FINANCIAL PLANS & STRATEGIES, INC.

CRD#: 123793 / SEC#: 801-107206

RIA

Registered Investment Advisory firm - (1/27/2016 Approved)

Indiana

Registered Investment Advisory firm - (2/9/2016 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

Indiana
(11/30/2023)

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: 11/30/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/14/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/15/2023

Securities Industry Essentials Examination

Current Firm

FINANCIAL PLANS & STRATEGIES, INC.

CRD#: 123793 / SEC#: 801-107206

RIA

Registered Investment Advisory firm - (1/27/2016 Approved)

Indiana

Registered Investment Advisory firm - (2/9/2016 Terminated)

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Contact information

Main Address

375 N. Madison Avenue, Greenwood, IN 46142-3636

Mailing Address

Phone number

(317) 882-7675

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 460,473,907

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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Maxwell A. Bigler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maxwell Alexander Bigler's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL PLANS & STRATEGIES, INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

FINANCIAL PLANS & STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/30/2023

Series 63

Date: 4/24/2023

Series 7TO

Date: 4/14/2023

SIE

Date: 2/15/2023

Current Firm

FINANCIAL PLANS & STRATEGIES, INC.

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FINANCIAL PLANS & STRATEGIES, INC.

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