The brokerage industry’s self-regulator is launching a so-called sweep exam looking at how firms are handling their ...

While the vast majority of financial advisors have incorporated liquid alternative investments into their clients' portfolios, they may be ignoring one illiquid opportunity in the current environment.

SpiderRock Advisors and Luma Financial Technologies have partnered up to offer clients technology and analysis tools to make it easier for advisors to access structured notes along with structured ...

Structured notes, a debt security tied to underlying assets, is poised for growth over the next year, according to a new report by the research and consulting firm Cerulli Associates. Advisors should ...

More investment advisors are finding a place in their clients’ portfolios for structured notes, according to leading alts provider CAIS. In a statement Thursday, CAIS said it’s registered a spike in ...

Investors who want a trifecta of market exposure, decent upside and protection from losses might take a closer look at structured notes. These fixed income securities are a relatively new type of ...

Question: We have over $500,000 invested with a certified financial planner (CFP) we like — most of it in very safe bonds to generate a little income. We are also into structured notes that generate ...

Structured Notes and Buffer funds are sleep-well-at-night products designed to protect investors from market drops. Brokers and nervous investors love them, despite their complexity and fees. Talk to ...

Equity-linked note ETFs provide diversified access to derivative income strategies while helping advisors manage operational ...

Luma Financial Technologies, a Cincinnati-based alternative investment platform, and SpiderRock Advisors, a Chicago-based provider of options strategies in the wealth market, have formed a new ...

Are you looking for an investment to diversify your portfolio? Structured products have a unique pricing model and can expose your portfolio to certain markets while mitigating some of the risks. They ...

A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing a rash of investor complains stemming from the sale of structured notes, the performance of which is typically tied to an ...