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*The ratings by Standard & Poor’s are unaudited. Certain securities held by the trust may be rated as investment grade by only one credit rating organization and either are unrated or
below investment grade by the other. Standard & Poor's is an independent provider of credit ratings. An issue credit rating is a current opinion of the creditworthiness of an obligor and
their perceived ability to meet their financial obligations. Rating agencies provide gradations of creditworthiness using rating symbols. Standard & Poor's highest rating is AAA and the
lowest rating being D. Any rating below BBB is considered to be non-investment grade or “junk”.
**The securities are first redeemable on such date and such price as listed. Certain securities have provisions which would allow for their redemption prior to the earliest stated call date
pursuant to the occurrence of certain extraordinary events.
FOR USE ONLY WITH INVESTOR ACCOUNTS ELIGIBLE FOR THE “FEE-BASED ACCOUNT”
Page 2 of 3 SALES CHARGE DESCRIBED ON PAGE 3
Energy 2.00% *As of 9/9/2019 and may vary thereafter. Breakdowns are based on the sources shown and
Source: Global Industry Classification Standard may differ from any category definitions used in selecting the trust portfolio.
Unit Investment Trusts (UITs) are sold only by prospectus. You should consider the trust’s investment objectives, risks, charges and
expenses carefully before investing. Contact your financial professional or visit Advisors Asset Management online at
www.aamlive.com/uit to obtain a prospectus, which contains this and other information about the trust.
Risks and Considerations: Unit values will fluctuate with the portfolio of underlying securities and may be worth more or less than the original purchase price at
the time of redemption. There is no guarantee that the objective will be achieved. Additionally, the trust may terminate earlier than the specified termination date as
stated in the prospectus. Consult your tax advisor for possible tax consequences associated with this investment. An investment in this unmanaged unit
investment trust should be made with an understanding of the risks associated therewith which includes, but is not limited to:
Concentration Risk: This trust is concentrated in securities issued by companies in the financial services industry. Negative developments in this sector will affect
the value of your investment more than would be the case in a more diversified investment.
Call Risk: An issuer might call a security if interest rates fall and the security pays a higher interest or dividend rate or if it no longer needs the money for the
original purpose. If an issuer calls a security, the trust will distribute the proceeds to you but your future income distributions will fall. You might not be able to
reinvest these proceeds at as high a yield. A security’s call price could be less than the price the trust paid for the security and could be below the security’s
original par or face value. You could also receive less than the amount you paid for your units. If enough securities in the trust are called, the trust could
terminate early.
Dividend Interest Payment Risk: There is no guarantee that the issuers of the securities included in the trust will be able to pay dividends or interest at their
stated rate in the future.
Foreign Securities: Securities of foreign issuers present risks beyond those of U.S. issuers. These risks may include market and political factors related to the
issuer's foreign market, international trade conditions, less regulation, smaller or less liquid markets, increased volatility, differing accounting practices and
changes in the value of foreign currencies.
Below Investment Grade Risk: Certain securities held by the trust are either rated below investment grade by one or more ratings agencies or are unrated. These
securities are commonly known as “high yield” or “junk” securities. These securities may be considered to be speculative and may be subject to greater market and
credit risks. Accordingly, the risk of defaults may be higher than investment grade securities. In addition, these securities may be more sensitive to interest rate
changes and may be more likely to make early returns of principal.
Preferred Securities: An investment in preferred securities should be made with an understanding of the various risks of owning preferred securities such as an
economic recession, volatile interest rates and the possible deterioration of either the financial condition of the issuers of the preferred securities or the general
condition of the stock market. Preferred securities do not generally have the growth potential of common stocks. They are also sensitive to changes in interest rates
and their market price generally falls with rising interest rates. Preferred securities are more likely to be called for redemption in a declining interest rate
environment. In addition, in the event of an issuer's bankruptcy, preferred securities will not be repaid until the issuer's other debt securities, which have priority,
have been satisfied. Preferred securities are equity securities of the issuing company which pay income in the form of dividends.
Long-Term Strategy: The UIT matures in 2 years and, as such, investors should consider their ability to reinvest any proceeds in a subsequent UIT, if available,
with a like or differing strategy, at the applicable sales.
For Use Only with Eligible Fee-Based Account Investors: During the trust’s initial offering period, investors who purchase units through registered investment
advisers, certified financial planners or registered broker-dealers who in each case either charge investor accounts periodic fees for brokerage services, financial
planning, investment advisory or asset management services, or provide such services in connection with an investment account for which a comprehensive “wrap
fee” charge is imposed may be eligible to purchase units of the trust in fee-based accounts that are not subject to the transactional sales fee but will be subject to
the creation and development fee that is collected by the sponsor (i.e. the “Fee-Based Account” sales charge). You should consult your financial advisor to
determine whether you can benefit from these accounts and whether your unit purchases are eligible for this discount. To purchase units in these accounts, your
financial advisor must purchase units designated with one of the Fee Account CUSIP numbers, if available. The amounts shown are different from what would be
applicable for units purchased in other accounts (i.e. commission-based accounts) not eligible for this discount. See your prospectus and consult your financial
advisor for more information about eligibility and applicability of the fee-based account discount. This communication may only be used with investors that are
eligible for this discount.
This material is not intended to be a recommendation or investment advice, does not constitute a solicitation to buy or sell securities, and is not provided in a
fiduciary capacity within the meaning of the Employee Retirement Income Security Act of 1974 (ERISA) and the Internal Revenue Code. The information provided
does not take into account the specific objectives or circumstances of any particular investor, or suggest any specific course of action. Investment decisions should
be made based on an investor’s objectives and circumstances and in consultation with his or her advisers.
Securities are available through your financial professional. Not FDIC Insured. Not Bank Guaranteed. May Lose Value.
For informational purposes only and not a recommendation to purchase or sell any security.
©2019 Advisors Asset Management
Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC.
18925 Base Camp Road | Monument, CO 80132 | www.aamlive.com | CRN: 2018-1211-7103 R Link 5703
FOR USE ONLY WITH INVESTOR ACCOUNTS ELIGIBLE FOR THE “FEE-BASED ACCOUNT” SALES CHARGE
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