Investments

Equities represent an ownership interest in a publicly traded corporation or pooled investment vehicle and may offer growth potential that can help you meet longer-term goals. Includes common stock, exchange traded funds, closed-end funds, certain listed preferred stocks and American Depository Receipts.

Exchange Traded Funds (ETFs)

An ETF is a type of pooled investment vehicle designed to track an index or can be actively managed. ETFs trade on an exchange like a stock throughout the trading day. ETFs can hold a diversified group of equities, fixed income, commodities, currencies, options, or a blend of assets.

Listed Options

Derivative instruments based on underlying assets, such as stocks. An options contract offers the buyer the opportunity to buy or sell—depending on the type of options contract they hold—the underlying asset.

Bonds issued by companies, governments, states, and municipalities that represent the issuer’s promise to repay the bond face amount, with interest, within a set period of time. Examples of fixed income securities include U.S. treasury securities, securities issued by government agencies, corporate bonds, municipal debt securities, and certain preferred securities.

Mutual Funds

Funds that consist of a portfolio of securities that seek to meet an identified objective, managed by a fund manager, with daily liquidity at the funds’ net asset value (NAV).

Unit Investment Trusts

Static portfolio of securities that is professionally selected by a manager that is constructed to implement a specific investment strategy with redemption at NAV available daily.

Contracts with an insurance company that provide for the payout of an income stream or a lump-sum amount at a future date. Consists of Fixed indexed annuities, variable indexed annuities, fixed rate annuities, income annuities and variable annuities.

Risk Management Solutions

Risk management solutions include options overlay strategies, exchange funds and hedging strategies that may help you reduce portfolio volatility, diversify your holdings, or mitigate the impact of fluctuating exchange rates, interest rates and market conditions.

Closed-End Funds (CEFs)

Closed-End Funds or CEFs, are a type of registered investment company that uses an asset manager to meet specific investment objectives. CEFs are typically traded on an exchange, giving investors intra-day liquidity at market prices.

Brokered CDs offered through a broker-dealer are a deposit instrument issued by a bank or savings association that typically pays periodic interest at a fixed rate for a specified period of time.

New Issues

Access to new issue debt and equity offerings at the time of issuance, allowing you to purchase at par or the offering price.

Market Linked Investments(MLIs)2

MLIs are debt instruments linked to the performance of an underlying market measure, like an index, with targeted risk and return characteristics.

Non-traditional investment vehicles that generally include hedge funds, private equity funds, and real assets. They may offer exposure to a broader range of markets and securities, including less liquid assets, and/or may employ investment strategies and techniques typically not found in registered investment companies.

You may only have access to certain limited brokerage services, based on the qualifications of your advisor and our policies. Should you have a need for other solutions relating to brokerage recommendations, then you will be referred to another appropriate advisor, if that is what you indicate.

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