When Will I Receive My RJ Tax Documents? - Forman Investment Services

Retail Tax Form Mailing Schedule:

Raymond James will mail retail composite Form 1099 tax statements in three main groups. The date your form will be produced typically depends on the holdings in your account, as detailed below. You will not receive documents for IRA accounts that had no contributions, withdrawals, rollovers, or conversions.

Group 1: Mailed by February 15
Forms mailed for accounts with holdings where issuers have finalized income reallocation or accounts holding less-complex securities, such as equities.
Group 2: Mailed by February 28
Forms mailed for accounts with holdings where issuers have finalized income reallocations since Group 1 was mailed (this typically includes Mutual Funds and Unit Investment Trusts (UITs)). Additionally, the first amended composite Form 1099s are mailed.
Group 3: Mailed by March 15*
Forms mailed for remaining original 1099s including final real estate mortgage investment conduit (REMICs) that report on Form 1099-OID. Additionally, the second amended forms are mailed as needed.

*All Forms 1099 must be mailed by March 15 regardless of any pending adjustments or income reallocation per IRS regulations. Amended mailings will occur as needed.

As a reminder, if a Form 1099 is delayed from the first mailing, it will be sent in either the February 28 or March 15 mailing, depending on when we receive all necessary information from the securities issuers and determine the form is complete.

Detailed Tax Form Mailing Schedule

Form	Account Type	Explanation	Mailed By
Various	Raymond James Bank	Mailing of year-end bank tax packets.	1/31
1099-R; 5498	Retirement	Mailing of year-end retirement tax packets for 1099-R and 5498.	1/31
1099-Q	Educations Savings	Mailing of Form 1099-Q to clients that either took a distribution or rolled over their CollegeAmerica Savings plan account held directly at Raymond James.	1/31
1099	Retail	Raymond James begins mailing Original 1099s. Early mailing excludes holders of securities likely to have income reallocated (Mutual Funds/UITs), WHFIT, WHMT, and REMIC.	2/15
1099	Retail	Raymond James begins mailing Amended 1099s and Original 1099s delayed due to specific holdings and/or income reallocation.	2/28
480.6A	Retail	480.6A - Reporting for Puerto Rico residents holding Puerto Rico securities.	2/28
480.6B	Retail	480.6B - Reporting for Puerto Rico residents and reports transactions with gross proceeds and investment income such as dividends and interest that is not subject to withholding.	2/28
480.6C	Retail	4806.C - Reporting for nonresidents of Puerto Rico who hold Puerto Rico-based securities in their accounts.	2/28
480.6D	Retail	480.6D - Reporting for Puerto Rico-based residents who may be subject to the Alternative Minimum Tax.	2/28
1099	Retail	Raymond James mails the remaining Original 1099s.	3/15
1042-S	Retail and Retirement	Mailing of original retail and retirement 1042-S.	3/15
K-1*	Retail	K-1 (Limited Partnership Income) will be distributed by and from the Limited Partnership (LP). Please note that because Forms K-1 are processed and mailed by LPs directly, Raymond James cannot control mail dates, which may vary. *Please note - LPs generally request a six-month extension from the IRS which extends the mailing deadline past March 15.	3/15
2439	Retail	Raymond James mailes 2439 statements (Notice to Shareholders of undistributed long-term capital gains and taxes paid by regular investment companies).	3/31
5498	Retirement	Mailing of Forms 5498 which captures any contributions from January 1 - April 15 made for the prior tax year.	5/31

Amended 1099 Mailing

As needed – Mailing of amended 1099s (primarily due to additional income reallocation)

Delays Expected for Tax Season

In an effort to control amended 1099s, we currently expect to delay the mailing of 1099s that meet the following criteria:

1099s for accounts that hold securities that have not 100% reallocated or could potentially have income reallocation (such as mutual funds, real estate investment trusts, unit investment trusts, exchange-traded funds, and holding company depository receipts, and select equity securities)
1099s for accounts that hold Original Issue Discount (OID) bonds, including select municipal bonds
1099s for accounts that hold specific 45-day delay Mortgage-Backed Securities which are reportable based on the record date (i.e. Record on 12/31, payable on 2/15)
Specific expected cost basis adjustments

If You’ve Chosen To Have Your RJ Tax Documents Emailed To You

When each tax document becomes available, it will be emailed to you from [email protected]

In the subject line, it will say “Your Raymond James Tax Documents are available” and then will say “View your Raymond James tax documents” in the email with a link to click.

Be sure to check your inbox AND Junk folder!

If You’ve Chosen To Have Your RJ Tax Documents Mailed To You

When each tax document becomes available, it will be mailed out. Paper mail delivery usually takes around 2 weeks to arrive in your mailbox. Please be patient if you have chosen paper mail delivery. If you don’t want to wait 2 weeks, enroll in Client Access and choose electronic delivery for same day delivery (must be set up prior to mailing date).