These deals were exclusive to Registered Investment Advisor (RIA) and Claro Advisor Clients
Market-Linked Income Notes
These investments will pay a monthly/quarterly income that is contingent upon the performance of the underlying stock indices .
Uncapped Barrier Growth Notes
These investments offer uncapped, enhanced upside participation of a stock index while also offering limited protection from market declines.
Dual Directional Notes
These investments offer upside participation of a stock index while also offering an absolute positive return during periods of negative market returns.
Market-Linked Income Notes
Sample Of Our Completed Offerings
|
Issuing Bank
|
Tenor | Coupon Rate | Coupon pays | Underlying Indices | Coupon will NOT be paid if ANY underlying index declines more than | Principal is at risk if ANY underlying index declines more than at maturity | Pricing Date | Prospectus | |
|---|---|---|---|---|---|---|---|---|---|
| Least Principal Protection: Investor’s Principal is fully protected up to 30% Market Declines at maturity | |||||||||
| JP Morgan | 23 months | 10.3% | monthly | S&P500, Nasdaq 100 Index, Russell 2000 | 30% | 30% | 11-8-24 | Prospectus | |
| JP Morgan | 18 months | 11% | monthly | S&P500, Russell 2000, Nasdaq 100 Index | 30% | 30% | 10-9-24 | Prospectus | |
| JP Morgan | 23 Months | 9.55% | monthly | S&P500, Russell 2000, Nasdaq 100 Tech | 30% | 30% | 7/19/24 | Prospectus | |
| Citigroup | 36 months | 10.3% | monthly | Nasdaq, Russell 2000, Utilities Select SPDR | 30% | 30% | 6/31/24 | Prospectus | |
| TD Bank | 24 Months | 10.5% | monthly | Nasdaq 100, Russell 2000, S&P500 | 30% | 30% | 5/31/24 | Prospectus | |
| JP Morgan | 24 months | 10.15% | monthly | Nasdaq tech, S&P500, Russell 2000 | 30% | 30% | 4/29/24 | Prospectus | |
| JP Morgan | 24 months | 11.1% | monthly | Nasadq Tech, S&P500, Russell 2000 | 30% | 30% | 4/26/24 | Prospectus | |
| CitiGroup | 24 months | 10.6% | monthly | Nasdaq, Russell 2000, Utilities Select SPDR | 30% | 30% | 3/11/24 | Prospectus | |
| Barclays | 28 months | 10.55% | monthly | S&P500. Russell 2000, Nasdaq | 30% | 30% | 3/5/24 | Prospectus | |
| BOA | 24 Months | 10.65% | monthly | DJIA, Nasdaq, Russell 2000 | 30% | 30% | 2/29/24 | Prospectus | |
| BOA | 24 Months | 10.85% | monthly | DJIA, Nasdaq, Russell 2000 | 30% | 30% | 1/31/2024 | Prospectus | |
| Morgan Stanley | 24 months | 11.5% | monthly | Nasdaq, Russell 2000, DJIA | 30% | 30% | 10/19/23 | Prospectus | |
| TD Bank | 18 months | 12.55% | monthly | Nasdaq, Russell 2000, S&P500 | 30% | 30% | 9/29/23 | Prospectus | |
| TD Bank | 27 months | 12.93% | quarterly | Nasdaq, Russell 2000, S&P500 | 30% | 30% | 9/29/23 | Prospectus | |
| Morgan Stanley | 21 Months | 11.75% | monthly | Nasdaq, Russell 2000, DJIA | 30% | 30% | 8/18/23 | Prospectus | |
| Morgan Stanley | 21 months | 12.5% | monthly | Nasdaq, Russell 2000, DJIA | 30% | 30% | 5/10/23 | Prospectus | |
| Morgan Stanley | 21 months | 12.1% | quarterly | Nasdaq, Russell 2000, DJIA | 30% | 30% | 2/17/23 | Prospectus | |
| Morgan Stanley | 18 months | 17.4% | monthly | Nasdaq, Russell 2000, DJIA | 30% | 30% | 10-17-22 | Prospectus | |
| JP Morgan | 21 months | 15% | monthly | S&P500, Russell 2000 Value, Russell 2000 | 30% | 30% | 8/6/22 | Prospectus
| |
| Morgan Stanley | 12 months | 15.75% | Quarterly | Nasdaq 100, Russell 2000, S&P500 | 25% | 25% | 1/26/2021 | Prospectus | |
| JP Morgan Chase | 21 Months | 15.20% | Monthly | Russell 2000, Russell 2000 Value, Nasdaq 100 | 30% | 30% | 7/8/2022 | Prospectus | |
| JP Morgan Chase | 21 Months | 15.30% | Monthly | Nasdaq 100, Russell 2000, Russell 2000 Value ETF | 30% | 30% | 6/17/2022 | Prospectus | |
| JP Morgan Chase | 21 Months | 14.40% | Monthly | Russell 2000, Russell 2000 Value, Nasdaq-100 | 30% | 30% | 4/29/2022 | Prospectus | |
| CitiGroup | 30 Months | 16.10% | Quarterly | Nasdaq 100, Russell 2000, S&P500 | 30% | 30% | 3/11/2022 | Prospectus | |
| JP Morgan Chase | 21 months | 13.30% | monthly | Russell 2000, Russell 2000 Value, | 30% | 30% | 3/4/2022 | Prospectus | |
| TD Bank | 24 Months | 11% | Quarterly | DJIA, Nasdaq 100, Russell 2000 | 30% | 30% | 1/18/2022 | Prospectus | |
| TD Bank | 18 Months | 12.46% | monthly | S&P500, Nasdaq 100, Russell 2000 Value | 30% | 30% | 11/29/2021 | Prospectus | |
| JP Morgan Chase | 18 Months | 13.25% | monthly | S&P500, Nasdaq 100, Russell 2000 Value | 30% | 30% | 10/7/2021 | Prospectus | |
| Morgan Stanley | 18 Months | 10% | monthly | Russell 2000, Nasdaq 100, DJIA | 30% | 30% | 9/29/2021 | Prospectus | |
| Bank of Canada | 24 Months | 11% | Quarterly | Nasdaq 100, Russell 2000, S&P500 | 30% | 30% | 9/14/2021 | Prospectus | |
| TD Bank | 18 Months | 9.28% | monthly | Nasdaq 100, Russell 2000, S&P500 | 30% | 30% | 5/5/2021 | Prospectus | |
| Morgan Stanley | 30 Months | 15.25% | monthly | Nasdaq 100, Russell 2000, DJIA | 30% | 30% | 10/20/2020 | Prospectus | |
| Citigroup | 24 Months | 10.25% | monthly | DJIA, Nasdaq, Russell 2000 | 30% | 30% | 10/20/2020 | Prospectus | |
| More Principal Protection: Investor’s Principal is fully protected up to 40% Market Declines at maturity | |||||||||
| JP Morgan Chase | 21 months | 13.2% | monthly | Nasdaq, Russell 2000, Russell Value | 30% | 40% | 11/4/22 | Prospectus | |
| MS Finance | 15 Months | 12% | monthly | DJIA, Russell 2000, S&P500 | 30% | 35% | 8/4/2020 | Prospectus | |
| Morgan Stanley | 15 months | 12% | monthly | DJIA, Russell 2000, S&P500 | 30% | 35% | 8/4/2020 | Prospectus | |
| JP Morgan Chase | 21 Months | 10.30% | Monthly | Nasdaq, Russell 2000, Russell Value ETF | 30% | 40% | 2/18/2022 | Prospectus | |
| Bank of Montreal | 21 Months | 14% | Quarterly | S&P500, Russell 2000, Nasdaq 100 Index | 30% | 40% | 2/2/2022 | Prospectus | |
| JP Morgan Chase | 21 Months | 10.15% | Monthly | S&P500, Nasdaq 100, Russell 2000 Value | 30% | 40% | 12/8/2021 | Prospectus | |
| JP Morgan Chase | 21 Months | 9.60% | Monthly | S&P500, Nasdaq 100, Russell 2000 Value | 30% | 40% | 10/7/2021 | Prospectus | |
| Barclays | 24 Months | 11.15% | Monthly | Nasdaq 100, Russell 2000, S&P500 | 25% | 40% | 2/2/2021 | Prospectus | |
| Most Principal Protection: Investor’s Principal is fully protected up to 50% Market Declines at maturity | |||||||||
| TD Bank | 36 months | 9.45% | Quarterly | S&P500, DJIA, RTY | 45% | 45% | 9/15/22 | Prospectus | |
| Bank of Montreal | 15 Months | 12% | Monthly | Van Eck Gold Miners & Junior Miners | 45% | 45% | 9/29/2020 | Prospectus | |
| JP Morgan Chase | 21 Months | 8.30% | Monthly | S&P500, Russell 2000, Russell 2000 Value | 50% | 50% | 4/29/2022 | Prospectus | |
| JP Morgan Chase | 21 Months | 11% | Monthly | Russell 2000, Russell 2000 Value, Nasdaq 100 | 30% | 50% | 3/18/2022 | Prospectus | |
| JP Morgan Chase | 21 Months | 9.65% | Monthly | S&P 500, NASDAQ 100, Russell 2000 | 30% | 50% | 10/7/2021 | Prospectus | |
| Morgan Stanley | 30 Months | 8.30% | Monthly | S&P500, Russell 2000, DJIA | 30% | 50% | 3/5/2021 | Prospectus | |
Uncapped Barrier Growth Notes
Completed Offerings
| Issuing Bank | Tenor | Leveraged Upside % | Upside | Underlying Indices | Barrier Protection | Pricing Date | Offering Document |
| BNP Paribas | 5 Years | 170% | Uncapped | IJR, IWM, VBK | 20% | 8/2/24 | Prospectus |
| BNP Paribas | 5 Years | 230% | Uncapped | IJR, IVW, VOT | 30% | 9/30/22 | Prospectus |
| BNP Paribas | 5 Years | 220% | Uncapped | IJR, IVW, VOT | 30% | 1/28/22 | Prospectus |
| BNP Paribas | 5 Years | 200% | Uncapped | IJR, IVW, VOT | 30% | 1/28/22 | Prospectus |
| BNP Paribas | 5 Years | 330% | Uncapped | SX5E, EEM | 30% | 11/18/21 | Prospectus |
| BNP Paribas | 5 Years | 180% | Uncapped | XLI SPDR, XLF SPDR | 25% | 6/10/21 | Prospectus |
| Morgan Stanley | 5 Years | 265% | Uncapped |
SX5E, EEM |
30% | 2/10/21 | Prospectus |
| JP Morgan Chase | 1 Year | 12.65% | Uncapped | S&P 500, Dow Jones, Russell 2000 | 30% | 6/29/20 | Prospectus |
| Credit Suisse | 5 years | 250% | Uncapped | SX5E, EEM | 30% | 6/18/20 | Prospectus |
| Citigroup | 5 Years | 200% | Uncapped |
DJIA, Russell2000, S&P500 |
30% | 3/27/20 | Prospectus |
Dual Directional Notes
Completed Offerings
| Bank Issuer | Tenor | Leveraged Upside % | Upside | Underlying Indices | Positive Returns up to declines of % | Pricing Date | Offering Document |
|---|---|---|---|---|---|---|---|
| JP Morgan Chase | 3 Years | 39.3% | Uncapped | DJIA, Nasdaq, Russell 2000 | 32.5% | 1/18/24 | Prospectus |
| JP Morgan Chase | 2 Years | N/A | 24% | S&P500 | 20% | 3/10/23 | Prospectus |
| BNP Paribas | 5 years | 205% | Uncapped | IJR, IVW, VOT | 30% | 11/30/22 | Prospectus |
| JP Morgan Chase | 2 Years | N/A | 29% | S&P500 | 20% | 10/26/22 | Prospectus |
| CitiGroup | 2 Years | N/A | 29% | S&P500 | 20% | 10/7/22 | Prospectus |
| JP Morgan Chase | 2 Years | N/A | 27.15% | S&P500 | 20% | 9/30/22 | Prospectus |
| BNP Paribas | 2 Years | N/A | 24% | S&P500 | 20% | 7/22/22 | Prospectus
|
| BNP Paribas | 5 Years | 264% | Uncapped | Material SPDR® Fund (XLB), Vanguard Real Estate ETF (VNQ) | 30% | 6/30/21 | Prospectus |
| HSBC | 5 Years | 265% | Uncapped | XLI, XBI | 30% | 1/28/21 | Prospectus |
| BNP Paribas | 5 Years | 264% | Uncapped | SPDR, Vanguard Real Estate ETF | 30% | 6/30/21 | Prospectus |
| BNP Paribas | 5 Years | 160% | Uncapped | EEM, S&P 500 ETF, Vanguard Tech ETF, T-Sector SPDR | 30% | 5/20/22 | Prospectus |
| JP Morgan Chase | 5 Years | 77.5% Fixed Return + 2x over 77.5% | Uncapped | NDX 100, ARKK ETF | 40% | 3/23/21 | Prospectus |
| JP Morgan Chase | 5 Years | 80% Fixed Return + 2x over 80% | Uncapped | NDX 100 ARKK ETF | 40% | 3/26/21 | Prospectus |