Demystifying Structured Notes

December 12, 2023

If you’ve ever wondered… what is a structured note? How do they work? And what role can they play in a portfolio? This webinar is for you!

The NewEdge Investment Solutions team at NewEdge Wealth demystified structured notes. Cameron Dawson, CFA®, CIO, Jared Kaplan, Advisor Partner, and Michaelangelo Dooley, CFP®, Head of Structured Notes Strategies, brought in special guest, Jason Barsema, Co-Founder of HALO Investing, to break down what exactly structured notes are, how they compare to other asset classes, and how they can be utilized effectively within a diversified portfolio.


NewEdge Wealth is a division of NewEdge Capital Group, LLC. Investment advisory services offered through NewEdge Wealth, LLC an investment adviser registered with the US Securities and Exchange Commission. Securities offered through NewEdge Securities, Inc. Member FINRA/SIPC.

The information in this presentation has been prepared solely for discussion purposes and is not intended as an offer or solicitation of an offer with respect to the purchase or sale of any security and should not be relied upon by you in evaluating the merits of investing in any securities.

Investing involves risk, including possible loss of principal. Past performance is no guarantee of future results.

NewEdge and its affiliates do not render advice on legal, tax and/or tax accounting matters to clients. Any investment, tax, marketing, or legal information contained herein is general and educational in nature and should not be construed as advice. Please consult your tax advisor for matters involving taxation and tax planning and your attorney for matters involving trusts, estate planning, charitable giving, philanthropic planning, and other legal matters.

Risks Relating to Structured Notes

While every structured product is different, all structured products share certain common elements. Structured notes are linked to the performance of specific underlying assets, which can be negative, but are not equivalent to investing directly in those assets. The derivative component of structured products and the potential loss of the principal for many such products may make them unsuitable for investors seeking alternatives to debt securities. It is important to note that a structured note may not always reflect the actual performance of the underlying asset and may have different risks than traditional debt or equity securities. Each investment in structured notes should be carefully evaluated with respect to an individual investor’s financial objectives, suitability, tax considerations and other relevant factors. Structured products vary considerably in terms of complexity and risk and are not suitable for all investors.

Do to underwriting and issuance costs, structured notes are designed to be held to maturity to realize the full benefits of the terms of the note. Investors will not receive any periodic interest payments, dividend payments or other distributions prior to a successful call observation or the maturity date of the structured note.

Structured notes have limited liquidity and are not an exchange traded product. There may be no or a limited secondary market for these investments.

Payment is subject to the credit risk and the ability of the issuer to pay its obligations as they become due.

Structured notes are not bank deposits nor are they insured by the FDIC or any other federal or state government agency of the United States or any other jurisdiction.

Stay in Touch

You may also like…