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Tax Reporting Information

Educational Tax Information For Tax Year 2023

Stifel, Nicolaus & Company, Incorporated (Stifel) is a full-service wealth management and investment banking firm, not an accounting firm, nor is Stifel in the business of giving tax advice. The information presented on this page is not intended to be nor should it be considered a basis for proper reporting on an individual’s tax return. Tax laws are very complex and involve a level of interpretation for both State and Federal purposes that only a qualified tax professional should provide.

IRS Circular 230 Disclosure: Stifel, its affiliates, and associates are not in the business of providing tax, regulatory, accounting, or legal advice. These materials and any tax-related statements are not intended or written to be used, and cannot be used or relied upon, by any such taxpayer for the purpose of avoiding tax penalties. Any such taxpayer should seek advice based on the taxpayer’s particular circumstance from an independent tax advisor.

Stifel is required by the Internal Revenue Service to furnish various Tax Forms to Stifel clients by the applicable due date. The information provided on this page will assist you in understanding Stifel’s process as well as provide educational information relating to yearly tax reporting.

The IRS regulations require taxpayers as well as issuers of tax forms to file their return by certain due dates. Stifel works very diligently to issue all tax forms in a timely manner. However, due to the complexity surrounding tax reporting and delays in receiving final reportable numbers from the securities issuers, Stifel may be required to delay the finalization of your tax information to an alternate date. Stifel will continue to work with the securities issuers to receive final numbers in order to provide you with accurate tax reporting information.

If your investments are subject to these delays, Stifel will provide a “Delay Letter” notifying you that the mailing of your tax information will be delayed to an alternate mail date. Stifel has created a “Preliminary 1099,” which clients can only receive electronically. The “Preliminary 1099” will reflect both finalized information received from the issuers as well as a listing of securities pending reclassification. Since we cannot determine what items may be affected year to year, we highly encourage everyone to sign up for electronic delivery.

Even with these additional steps, the securities issuers may provide Stifel with corrected tax reporting numbers before the IRS filing due dates. Since we do not have control over when these corrected tax reporting numbers are provided to Stifel, we encourage you to wait to file your 2023 tax return as long as reasonably possible.

To assist you in preparing for the upcoming Tax Return Filing season, Stifel has provided a “Preliminary Mail Schedule” as well as the IRS description and summary below.

*If any due date falls on Saturday, Sunday, or a legal holiday, the due date is the next business day.
#The IRS extended the due date for brokerage firms who issue their 1099s on a consolidated basis from January 31st to February 15th. As Stifel files our tax forms (1099-DIV, 1099-INT, 1099-OID, 1099-MISC, 1099-B, 1099-C and 1099-CAP) in one consolidated form, we are covered by the February 15th mail date.
The IRS allows firms to file for a one-month extension, up to March 15th. With this being said, Stifel does take advantage of the one-month extension in order to provide Final 1099's to our clients in a timely manner.
Due to issues we face yearly with late reclassifications, Stifel's goal is to increase the percentage of 1099's that are mailed to our clients on the first run. It is possible this year, that some clients will receive 1099's postmarked a few days after February 15th. Please understand we are covered by the IRS extension process, and will make every effort to have client's forms available as close to this mid-February date as possible.