Records, Statements & Tax Documents

To find a detailed history of all the transactions in your account (buys, sells, dividends, etc), please follow the instructions below: navigate to Accounts > Transaction History (sign in required). In addition, you can download this information into Microsoft Money, Quicken, or Excel (CSV).

The default setting lets you see all the activity for the past 7 days, but you can change the settings to fit your specific needs:

Time Period

You can choose either the pre-defined Time Period or choose a Custom Date range.

Tip: When selecting Custom Dates, you can only view one year at a time, but the 'From' date can be set to a date as early as December 1, 1999.

Date Range

When you select a pre-defined date, the 'from' and 'to' dates automatically pop up. You can either use the pre-defined date, or edit it to create your own custom date range.

Transactions

The Transaction list lets you filter the types of transactions you'd like to look at within your account. For example, You can filter the list to show only your Automatic Investing Plan trades.

• All Transactions – All account transactions for a specific time period will show up.
• All Trades – All buys and sells in your account, regardless of the type of security, gets displayed.
  • Automatic Investments – Only shows buy orders you've made through the Automatic Investing Plan.
  • Buys (Trade Now) – Let's you see buys transactions of stocks and ETF's.
  • Sells (Trade Now) – Let's you see sell transactions of stocks and ETF's.
  • Mutual Fund Trades – Shows activity for mutual fund buys and sells.
  • Options Trades – Includes all buys and sells of options contracts
• Funds Transfer – All cash transfers in-and-out of your ShareBuilder account.
  • Deposits – Any cash you put into your ShareBuilder account (deposits from checking account, wire transfers, etc) show up in this filter.
  • Withdrawals – Cash you take out of your ShareBuilder account (withdrawals to checking or savings account, etc) shows up here.
• Dividends – If you've received any type of dividend in your ShareBuilder account, it shows up here.

Tip: All transactions are ordered by Date.

If you want to look at activity in another one of your ShareBuilder accounts, use the 'Switch Accounts' box (linked accounts only).

It's always good to check the details of your buys and sells. Click on Trade > Trade Confirmations (sign in required) to check out your recent trade confirmations.

When you view confirmations, the default display period is for the Current Month. You can view older trade confirmations by selecting Last Month or Year to Date from the 'Time Period' menu.

Once you have found the trade confirmation you want to review, click View to open the confirmation in a new browser window. To print your trade confirmation, go to your browser's File menu and select Print.

Tip: Trade confirmations are only available online. To view your statements, please follow the directions below.

Each trade confirmation is chuck-full of details, including:

• Trade Date – The date your transaction took place
• Settlement Date – The date that the security and cash exchanged hands, which is the third business day after a stock or ETF trade and the first business day after an option or mutual fund trade
• Market – The exchange or market the trade was routed through
• Capacity – ShareBuilder's role in the transaction (agent, principle, or a combination)
• Transaction Number – A unique reference number assigned to the transaction
• Price – The price per share at the time the transaction executioned
• Principal Amount – The dollar amount of the transaction
• Commission – The amount of the commission (if any)
• Misc. Fee – Any other charges related to the transaction

The good news? Your recent account statements are available online (in either year-end or monthly form). You can view a list of your account statements by clicking on Accounts > Statements > Statements (sign in required).

Statements show every action that occurred in your ShareBuilder Account during the previous month, or the previous year. In January of each year, we consolidate the previous year's monthly statements into a single year-end statement. These statements contain the same information as your regular monthly statements, formatted to make the information easy to find and read.

Tip: Depending on the number of transactions you've completed, the year-end statements may take longer to load (so this is a good time to stretch your typing fingers).

To open a statement, locate the month or year you want to review in the list of available files. Click the name of the statement to open it in a new browser window that is formatted for printing. To print your trade confirmation, go to your browser's File menu and select Print.

Tip: To keep trading and account costs to a minimum, we do not mail out hard copies of account statements. Please print all confirmations and monthly statements for your records. We provide three years of statements online.

We offer two types of statements: monthly and year-end statements.

Monthly statements summarize all the action within your ShareBuilder Account for a particular month.

In January of each year, 12 monthly statements get consolidated into a single year-end statement. These year-end statements contain the same information as your regular monthly statements, formatted to make the information easy to find and read.

Each statement from us contains the following information:

• Account Value Summary – This shows the value of your securities and the amount of cash you have sitting in your cash balance as of the end of the current statement period and the end of the previous period
• Earnings Summary – Any taxable interest or dividends you received for the current statement period, as well as your year-to-date totals
• Positions – All securities held in your ShareBuilder Account as of the end of the current statement period
• Activity – All transactions that took place during the current statement period, such as:
  • Purchases
  • Sales
  • Receipt of dividends
  • Deposits (or withdrawals)
  • Stock splits
  • Dividend reinvestment
  • Pricing program monthly subscription

Tip: To keep trading and account costs to a minimum, we don't mail out hard copies of account statements. Please print all confirmations and monthly statements for your records.

Well, it depends; the tax documents you receive will depend on your account type and your account activity for the previous year. Individual, Joint and Custodial accounts that meet reporting thresholds set by the IRS will receive a substitute combined 1099 statement.

You can access the 1099 forms for the last three tax years online for Individual, Joint and Custodial accounts.

Beginning with the 2012 tax year, 1099 and 5498 tax forms for IRA and ESA accounts will be available online.

When can I expect my 1099 or 5498 tax form to be delivered?

Do you prefer paper or paperless?

Get your 1099 or 5498 online (the paperless option)
Some quick steps to get your tax forms online:

1. Go to Accounts > Tax Center > 1099 Tax Forms (sign in required)
2. Select your account
   
   
   • Note: For IRA, Roth IRA, or ESA accounts, you'll have to select the desired tax form (for example, 1099-R, 1099-Q, 5498, or 5498-ESA)
   
   
3. Select the tax year
4. Enter the last 4 digits of your SSN/ITIN for security verification
5. Click Search to see a PDF version of your requested tax form

Get it by U.S. Mail
If you've chosen U.S. Mail as your delivery preference for tax documents, we will mail your tax forms approximately 2 weeks after we post them online.

Want to change how you get your 1099 or 5498?
If you want to go paperless (or change to paper), here's how:

1. Go to Accounts > Overview > Profile & Settings > Account Settings (sign in required)
2. In the 'Document Delivery' section, click the Edit link for 'Tax Statement Document Delivery'
3. Change your preference and click Save

Tip: This must be done by December 31 of each tax year to receive your tax form by mail in the following year.

Regardless of your delivery preference, we'll email you as soon as your tax form is posted online. Although this is very unlikely – we're required to tell you that we may stop providing tax documents online. If we do, we'll let you know ahead of time.

When can I expect my 1099 or 5498 tax form to be delivered?