Types of Tax Forms From Your Investment Accounts - Key Tax Forms Summary

Sep 19, 2026

A practical guide to common tax forms related to investment accounts, outlining purpose, timing, and how to obtain each document. It covers 1099 (individual and consolidated), 1099-R distributions from IRA/ROTH including conversions, Form 8606 for backdoor ROTH conversions when not provided by custodians, K-1 filings for partnerships/LLCs/S corporations with deadlines and extensions, and 5498 IRA/ROTH contribution confirmation kept for records and verification. Readers are advised to contact their CPA for tax-specific questions.

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1099 Tax Form

Individual vs. Consolidated

1099-R Tax Form

8606 Tax Form

K-1 Tax Form

5498 IRA (and ROTH) Contribution Information Form

Types of Tax Forms From Your Investment Accounts 1099 Tax Form (Individual & Consolidated) When: End of Februrary What for: · Individual Includes: individual funds, stocks, or alternative investments you own for holdingsin custodial/brokerage/advisory accounts.( REIT’s, annuities, etc.) · Consolidated Includes: 1099-DIV, 1099-INT, 1099-MISC, and any other information your tax preparer needs. (Schwab, etc.) How to access: Sometimes are mailed, but always can be downloaded using your client login to the various custodians or brokerages. 1099-R Tax Form When: End of February What for: Distributions out of an IRA or ROTH, including IRA to ROTH conversions. How to access: Sometimes are mailed, but always can be downloaded using your client login to the various custodians or brokerages. 8606 Tax Form When: Not sent out or provided by a custodian. What for: If you performed a ‘ Backdoor ROTH Conversion’, your tax preparer needs to file an 8606. How to access: Prepared and filed by your CPA/tax preparer (and will appear in your filed tax return) . K-1 Tax Form When: Deadline for the partnership or LLC is 3/15, but can be extended to 9/15 of each year. What for: These are issued by partnerships, LLCs, and S Corporation investments. How to access: K-1 forms are issued by the partnership/ LLC/S Corporation investment. 5498 IRA (and ROTH) Contribution Information Form When: Mid to late May What for: Confirmation of your contributions. Does NOT need to be filed with IRS, but keep with tax files. Used only for verification. How to access: Sometimes are mailed, but always can be downloaded using your client login to the various custodians or brokerages. Please keep in mind that each situation is unique. If you need extra support regarding any of these forms or have further questions, please feel free to email us. If you have questions that are tax specific, we encourage you to contact your CPA/tax preparer. Securities and advisory services offered through Centaurus Financial, Inc., member FINRA and SIPC, a registered investment advisor. Centaurus Financial, Inc. and Alpha 3 Wealth Management and their affiliates are not affiliated.

FAQs

What is a 1099 tax form and what does “individual” vs. “consolidated” mean?

The 1099 tax form is used for information reporting from investment holdings. “Individual” covers funds, stocks, or alternative investments you own, while “consolidated” includes items such as 1099-DIV, 1099-INT, 1099-MISC, and other details your tax preparer needs.

When is 1099-R typically due and what transactions does it cover?

1099-R is typically due at the end of February. It reports distributions out of an IRA or ROTH, including IRA to ROTH conversions.

Why might you need to file Form 8606, and who prepares it?

Form 8606 is needed when you performed a backdoor ROTH conversion and it is not sent by a custodian. It is prepared and filed by your CPA or tax preparer and appears in your filed tax return.

Sep 19, 2026

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