Thank you for your interest!

Risks Related to Structured Products
This document or presentation is intended for institutional investors and/or wealth advisers only, and is not intended for distribution to others.
Halo Investing, Inc. is a parent company of Halo Securities, LLC. Halo Investing, Inc. is not a broker/dealer. Securities are offered through Halo Securities, LLC, an SEC registered broker/dealer and member of FINRA/SIPC. Halo Securities, LLC is affiliated with Halo Investing Insurance Services, LLC and Halo Investment Services, LLC. Halo Securities, LLC acts solely as distributor/selling agent and is not the issuer or guarantor of any structured note products. For more information about Halo Securities, LLC, you can visit https://brokercheck.finra.org/firm/summary/279029. For more information about Halo Investment Services, LLC , you can visit https://adviserinfo.sec.gov/firm/summary/325613.
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.
Halo Securities, LLC., NewEdge, and their 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.
The information 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.
The trademarks and service marks contained herein are the property of their respective owners. Unless otherwise specifically indicated, all information with respect to any third party not affiliated with NewEdge has been provided by, and is the sole responsibility of, such third party and has not been independently verified by NewEdge, its affiliates or any other independent third party. No representation is given with respect to its accuracy or completeness, and such information and opinions may change without notice.
Certain information contained in this Presentation constitutes “forward-looking statements,” which can be identified by the use of forward-looking terminology such as “may,” “will,” “should,” “expect,” “anticipate,” “project,” “estimate,” “intend,” “continue,” or “believe,” or the negatives thereof or other variations thereon or comparable terminology. Due to various risks and uncertainties, actual events, results or the actual performance of the Adviser’s investments may differ materially from those reflected or contemplated in such forward-looking statements. Nothing contained in this Presentation may be relied upon as a guarantee, promise, assurance or a representation as to the future.
Gross returns do not reflect the deduction of fees, commissions or other charges, which reduce returns (e.g., an investment management fee of 0.50% will reduce a 10% return to a 9.5% return). The compounding effect of such fees over time can be substantial and should be taken into consideration when viewing these materials. Net (%) was calculated using the highest advisory fee of 1% applied annually for each year the note has been outstanding.  If you have any questions concerning the fee calculation and deduction method, please contact your Private Wealth Adviser.
When referencing asset class returns or statistics, the following indices are used to represent those asset classes, unless otherwise notes. You cannot invest directly in an index.  Index returns shown are total returns which includes interest, capital gains, dividends, and distributions realized over a given period of time. An individual who purchases an investment product which attempts to mimic the performance of a benchmark or index will incur expenses such as management fees and transaction costs which reduce returns.
Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the CFP® certification mark, the CERTIFIED FINANCIAL PLANNER™ certification mark, and the CFP® certification mark (with plaque design) logo in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

Risks Related to Structured Products
Investments in structured products are subject to several risks, including credit risk, market risk and liquidity risk. Structured products typically have a specified maturity date and payout profile determined by the performance of an underlying, or basket of underlying, market measures. Structured products are generally designed to provide some level or combination of principal protection, downside market risk mitigation, enhanced income or enhanced returns relative to the performance of the underlying market measure. As a senior unsecured debt obligation, the payout at maturity is dependent on the issuer’s ability to pay off its debts as they mature. While there is generally liquidity provided by the issuer of a structured product prior to maturity, there is no guarantee of a secondary market. In the case that there is a secondary market provided, the sale price may be significantly less than what would be the maturity value due to factors such as volatility, interest rates, credit quality and risk appetite. The value of an investment in a structured product will reflect the then-current market value of the structured product as calculated by the issuer and will be subject to all the risks associated with an investment in the underlying market measure along with the risks and factors described above. Investors in structured products will not own or have any claim to the underlying market measure directly and will, therefore, not benefit from general rights applicable to the holders of those assets, such as dividends and voting rights. Notes are not insured through any government agency or program and the return of principal and fulfillment of the terms negotiated by NewEdge on behalf of its clients is dependent on the financial condition of the third party issuing the note and the issuer’s ability to pay its obligations as they become due.
Structured notes purchased for you will not be listed on any securities exchange. There may be no secondary market for such structured notes, and neither the issuer nor the agent will be required to purchase notes in the secondary market. Some of these structured financial products  are callable  by the issuer only, therefore the issuer (not you) can choose to call in the structured notes and redeem them before maturity. In addition, the maximum potential payment on structured notes will typically be limited to the redemption amount applicable for a payment date, regardless of the appreciation in the underlying index associated with the note. Since the level of the underlying index at various times during term of the structured notes held by you could be higher than on the valuation dates and at maturity, you may receive a lower payment if redeemed early or at maturity than if a client would have invested directly in the underlying index.
While the payment at maturity of any structured notes would be based on the full principal amount of any note sold by the issuer, the original issue price of any structured notes purchased for you includes an agent’s commission and the cost of hedging the issuer’s obligations under the note. As a result, the price, if any, at which an issuer will be willing to purchase structured notes from clients in a secondary market transaction, if at all, will likely be lower than the original issue price and any sale before the maturity date could result in a substantial loss. Structured notes will be designed to be short-term trading instruments so you  should be willing to hold any notes to maturity.