Help Center

Manage Client’s Account: Transaction History

What are the Transaction Page columns?

Date – The effective date of the transaction

Transaction – Describes the posted transaction

Transaction Type – Provides additional information about the transaction. For example, a Buy order has three different types—Window Trade, Market Order (includes Market, Limit, Stop and Stop-Limit orders), or Reinvestment Order.

Symbol – Identifier for the security

Name – Name of the security

Price – The price involved in the transaction

Quantity – The quantity involved in the transaction

Amount – The amount of the transaction (calculated as: Price multiplied by Quantity)

Folio – The name of the Folio where the transaction took place

Commission – Reports the commission amount, if applicable

Notes – Provides additional transaction information where applicable

How can I change the column order?

Please see our guide for directions on how to change the column order, resize columns, or add and remove columns.

What are the Transaction Categories and Sub-Categories?

Transaction Category and Sub-Category Definitions

Deposits & Transfers in: Includes checks, cash & security transfers in, and other deposits

  • Cash: List all checks
  • Wire & EFTs: List all wire and EFT Deposits
  • Transfers (in): List all cash and securities transferred into the folio or account
  • Miscellaneous Deposits: List all miscellaneous deposits that do not have a specific transaction label

Withdrawals & Transfers out: Includes checks, cash & security transfers out, and other withdrawals

  • Checks: List all check withdrawals
  • Wire & EFTs: List all wire and EFT withdrawals
  • Transfers (out): List all cash and securities transferred out of the folio or account
  • Miscellaneous Withdrawals: List tax withholding and miscellaneous withdrawals.

Trades: All buys and sells including reinvestments

  • Buys: List all buys except for reinvestments
  • Sells: List all sells
  • Reinvestments: List all reinvestments

Distributions: Includes dividends, interest, and other security distributions

  • Dividends: List all paid dividends and dividend adjustments
  • Interest: List all interest payments and interest adjustments
  • Capital Gain Distribution: List long-term and short-term capital gains distributions
  • Stock Dividends: List all paid stock dividends
  • Return of Capital: List return of capital transactions
  • Cash Liquidations: List cash distributions resulting from a merger or final security distribution

Fees: Includes all fees posted to an account or Folio

  • Administrative: All fees not considered Investment Management or Trading Expenses
  • Trading Expenses: Fees directly or indirectly associated with the purchase of sale of securities
  • Investment Management: Fees for Investment Management services

Corporate Actions: Includes special activity such as splits, mergers, and other corporate actions

  • Exchanges: List all exchanges into or out of the Folio or account
  • Mergers: List merger transactions
  • Name Changes: List ticker, and/or description changes
  • Stock Splits: List all forward and reverse stock splits
  • Spin-offs: List all spin-offs adjustment

What is the Reset View button?

The Reset View button restores the table columns size and order to the original default.

What is the Results Summary?

The Results Summary table shows the count and dollar amount of transactions displayed in the results table below. If a column displays a transaction count, but no dollar amount then the particular transactions do not have an associated value. For example, Name Change transactions do not have a dollar value but they will still be counted under Corporate Actions.

How can I download & print my Transactions?

By selecting the Download & Print icon you will download the transactions for the selected date range into a spreadsheet. You can print all of the downloaded information by selecting Print.

The Software Downloads dropdown menu allows you to download your transaction history into .QFX, .OFX, and .QIF formats. The Software Downloads will ask you to select a date range.

How can I search by ticker or dollar range?

There are additional search criteria available below Step 2 in the Filter section of the Transaction History page. Select the down arrow next to Additional Search Criteria to search by dollar amount or ticker. To hide these additional criteria select the arrow again.

What is the Show Cash Sweep Transactions checkbox?

Select the checkbox under Additional Search Criteria to show cash sweep transactions. Cash sweep transactions reflect the movement of cash after certain types of transactions. These transactions are hidden by default since in most cases they are not directly initiated by you. For example, a $10 dividend that is paid to a Folio is then moved to Cash as a purchase. To display these Cash purchase transactions select the checkbox.

Why is the page taking long to return results?

If your Account or Folio has many transactions over the selected Date Range then the page could take extra time since there are many transactions to search through.