Already using AdviceWorks? Your investment 1099s will appear in your vault. You can log in to your AdviceWorks account to check for downloaded documents.

Not enrolled in AdviceWorks? Please reach out to your Client Service Representative for assistance in your AdvieWorks enrollment.

To access your tax forms on AdviceWorks, follow these steps:

1. Log in to your AdviceWorks account
2. Click "My Documents"
3. Click "Statements & Notices"
4. Click "Tax Docs"
5. Select Tax Year "2025" and then "Apply"
6. You will see a list of completed tax documents for that year. Please note that you must have Acrobat Reader installed for this step.

If you elected paper delivery for your investment 1099s, you would receive those by mail in accordance with the Pershing phased mailing schedule provided after these FAQs (jump to Pershing info)

Cetera offers the option to receive your Pershing tax documents via regular mail. If you would like a paper copy, you can follow these steps:

1. Log in to your AdviceWorks account
2. Click on your name in the upper right-hand corner
3. Click on “My Account Settings”
4. Click on “Expand to Customize eDelivery”
5. Uncheck the box under “Tax Statements” for all Pershing accounts you want to receive via mail. Please note, your tax documents will still be accessible in your AdviceWorks portal
6. Click “Save Changes”
7. You will see a pop-up box say “Your eDelivery settings have been successfully saved.”

You’ll continue to have full access to your Pershing tax documents through your AdviceWorks portal. If you receive only tax documents in paper form and all other documents electronically, Cetera applies a $10 annual fee for each applicable account. If you choose to receive other account documents by mail, a $3 monthly subscription fee applies only in months when a mailing is sent, and there is no additional charge for paper tax documents. If your account is set-up for 100% eDelivery, your tax documents are available to you via your AdviceWorks portal.

You will receive tax forms for direct business, such as annuities, 529s, and REITs, by mail.

You are encouraged to upload these documents to your AdviceWorks vault.

Want to contribute for 2025 to a Roth IRA, Traditional IRA, HSA, or 529 education savings account?

You can contribute to these accounts for 2025 until April 15, 2026. However, some states require 529 contributions by December 31, 2025.

Please contact your Client Service Representative with any questions or requests. Be sure to submit funding requests a few days before the April 15 deadline, especially for accounts outside of Prosperity.

If you want to work with the Prosperity Tax Center to prepare your return this year, what is the last date to provide information to the tax center to meet the April 15th filing deadline?

Ideally, the Prosperity Tax Center team needs your information no later than March 25th to meet the April 15th tax filing deadline. After March 25th, the team can file an extension for you.

Client Service Representatives can assist with questions about your tax documents.

Please reach out to your Client Service Representative by phone, email, or our central text (913-828-3688) instead of your financial advisor, if your question specifically pertains to tax documents.

Tax and Year-End Statements, Form 1099 To Be Mailed Beginning in January

Pershing uses a phased mailing schedule to provide clients with complete tax forms as early as possible. This approach speeds up the release of original 1099s and minimizes the need to publish revised 1099s, reducing the number of clients that must submit corrected tax filings. The timing of 1099 delivery depends on the types of holdings in each account.

Clients will also receive a premium version of their Form 1099 called the Tax and Year-End Statement (TYES) at no additional charge. The TYES includes realized gain/loss information, 12 months of checking and debit card activity, electronic deposits and withdrawals, and dividends and interest.

As noted on the November and December Pershing statements, Please note the following for Pershing's IRS Form 1099 (B, DIV, INT, MISC, and OID):

1. Your Form 1099 will be delivered in the early months of the year, starting January 31.
2. By February 11, you will receive either your Form 1099 or a Pending 1099 Notice.
   • The Pending 1099 Notice will be sent if final information from issuers and trustees has not been received and processed by February 11.
     It will also be sent if your information is still under review. The notice will detail the securities pending final reporting and provide the expected delivery date of your 1099.
   • Your 1099 will be delivered by March 11 at the latest.