Detailed information is available on your daily, monthly and annual statements accessed by logging in to Client Portal.

In Client Portal click the Reports > Statements menu. When you run a statement you have the option to format the information in HTML, PDF or CSV format for import to various applications including Captools, Tradelog, GainsKeeper, MS Money, Excel or Quicken to facilitate your gain and loss calculations.

If you need assistance downloading your statements, please contact the Client Service Service Center.

In compliance with Treasury Department Circular 230, unless stated to the contrary, any information contained in this FAQ was not intended or written to be used and cannot be used for the purpose of avoiding tax penalties that may be imposed on any taxpayer.

Yes. This information is available by logging in to Client Portal and selecting the Reports > Statements menu option.

In compliance with Treasury Department Circular 230, unless stated to the contrary, any information contained in this FAQ was not intended or written to be used and cannot be used for the purpose of avoiding tax penalties that may be imposed on any taxpayer.

We often need to amend and re-issue Forms 1099 as additional information becomes available to us.  For example, an amended Form 1099 will be issued to reflect the late announcement by a mutual fund, regulated investment company (RIC) or unit investment trust (UIT) that a dividend distribution has been reclassified.   If we do revise your Form 1099, you will receive an email notification that there has been a change, and you can access the amended form by logging in to Client Portal and selecting the Reports > Tax menu option.

Consult your tax advisor for further guidance on reporting these amounts.

In compliance with Treasury Department Circular 230, unless stated to the contrary, any information contained in this FAQ was not intended or written to be used and cannot be used for the purpose of avoiding tax penalties that may be imposed on any taxpayer.

First, you must determine from which account you are missing your consolidated form 1099.  Retirement account and educational savings account 1099s are sent to you by mail, if applicable. If you are missing a consolidated form 1099, verify that you sold shares of stock during the previous tax year for equities or covered a short position opened after 2010 or that you bought or sold futures contracts during that same period or that you received an interest (including interest on free cash) or dividend payment in an account.

Once you have reviewed your account activity from the previous tax year, and, you have determined that you should have received a 1099 for an account, please contact our Client Service department with specific details of transactions, including the name of the security, number of shares/contracts, and the trade date. We will research the issue and will advise you once we have concluded our investigation.

Circular 230 Notice: These statements are provided for information purposes only, are not intended to constitute tax advice which may be relied upon to avoid penalties under any federal, state, local or other tax statutes or regulations, and do not resolve any tax issues in your favor.