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Securities FAQs

Unicapital Securities, Inc. (USI) is a leading full-service securities brokerage firm licensed by the Securities and Exchange Commission (SEC) and a bona fide member of the Philippine Stock Exchange. Since opening our doors in 1997, we have successfully established ourselves as an active player in equity securities trading.

UTrade is the online stock trading platform of Unicapital Securities, Inc. Through our reliable platform, clients can conveniently trade (buy and sell) stocks listed on the Philippine Stock Exchange. UTrade is more than just a trading tool—we provide daily research reports and access to real-time market information. Our goal is to deliver the customer experience you expect, from platform to service.

Unicapital Securities is located on the 3rd floor of the Majalco Building, at the corner of Benavidez and Trasierra Streets, Legaspi Village, Makati City.

Contact us:
📧 Email: [email protected] / [email protected]
📞 Telephone: (632) 8823-5344 / 8892-0991 to 96

Opening an Account

Yes, any individual of legal age, whether Filipino or a foreign national, can open an online account with Unicapital Securities, Inc. (USI), provided that all required documents are duly submitted and meet the standards set by USI, as well as the rules and regulations prescribed by law. However, USI reserves the right to reject any application at its discretion.

You may easily open a UTrade account anytime, anywhere via the digital application form here: https://register.account-utradeph.com/.

Be prepared with your (1) valid government-issued ID and to take a selfie for verification.

The minimum initial deposit required is ten thousand Philippine pesos. (Php 10,000.00)

In the case that a manual account opening process be needed, please see the steps below:

  1. Download the required forms by clicking on the link below:
    UTrade Account-Opening Form
  2. Print and complete the forms, ensuring all necessary information is filled out. Affix your signature in the required fields on the following forms:
    • Account-opening forms (4 signatures)
    • Online Trading Service Agreement
    • Foreign Account Tax Compliance Act (FATCA)
    • Data Processing Consent and Warranties
    • Consent form for REITs NoCD Account
  3. Prepare your application documents and requirements. Submit at least one (1) valid identification document from the list below:
    • Driver’s License
    • Passport (full page copy with signature portion)
    • Digitized SSS/GSIS ID
    • Unified Multi-Purpose ID (UMID)
    • Voter’s ID
    • Professional Regulations Commission (PRC) ID (front and back)
    • Postal Identity Card
    • National ID (front and back)
    • Senior Citizen’s ID
    • If you do not have a primary ID, you may temporarily submit at least two (2) secondary identification documents from the list below:
      • Government office ID – if employed
      • PhilHealth ID
      • Pag-IBIG ID
      • Tax Identification Number (TIN)
      • Seaman’s Book
      • OFW ID
      • OWWA ID
      • Police or NBI Clearance
      • Barangay Certificate
      • Birth Certificate
      • Company ID (with Birth Certificate)
        • Certification from the National Council for the Welfare of Disabled Persons (NCWDP)
      • Department of Social Welfare and Development (DSWD)
    • Note: For foreign or local individuals residing abroad and opening an account from overseas, the Philippine Consulate or Embassy must authenticate the above documents where the account holder is located.
    • ADDITIONAL REQUIREMENTS FOR FOREIGN INDIVIDUALS
      • Resident Foreigners
        • Proof of Identification
        • Photocopies of two (2) valid government-issued IDs (Philippine or foreign) with clear photo and signature. IDs must be authenticated by the Philippine Embassy or Consulate.
        • Alien Certificate of Registration (ACR) or Business Certificate or Work Permit from the Department of Labor and Employment (DOLE).
        • Billing Statement (must include name, address, and date).
        • Bank Certification (confirming the existence of the account and verifying face-to-face contact with the client, as required by the Revised AMLA Series of 2010 and BSP Circular No. 706 Section X806.1e.3 – Foreign Bank Account).
      • Non-Resident Foreigners
        • Proof of Identification
        • Photocopies of two (2) valid government-issued IDs from their home country, with clear photo and signature. IDs must be authenticated by the Philippine Embassy or Consulate.
        • Billing Statement (must include name, address, and date).
        • Bank Certification (confirming the existence of the account and verifying face-to-face contact with the client, as required by the Revised AMLA Series of 2010 and BSP Circular No. 706 Section X806.1e.3 – Foreign Bank Account).
  4. Send the complete and original application documents to:

    Unicapital Securities, Inc.
    3/F Majalco Building, Benavidez corner Trasierra Streets,
    Legaspi Village, Makati City 1229

    Note: Only original documents will be accepted. Scanned or faxed copies cannot be processed.
  5. Once your forms and other requirements have been submitted, we will send you an email with instructions on how to fund your account. Your account must be funded before you can begin trading. (See also “Funding My Account.”)

    Your online account will be processed and fully approved once the account-opening deposit has been received and confirmed. You will receive an email notification once your account has been activated.

Funding my account

You can fund your UTrade account via Over-the-Counter Deposit or Online Bank Transfer at any of the banks listed below:

  1. BDO Unibank, Inc.
    • Account Type: Savings-PHP
    • Account Name: UNICAPITAL SECURITIES, INC.
    • Account No.: 003600000793
    • Branch: Ayala Triangle 1 Branch
    • Swift Code: BNORPHMM
    • Address: GM-B G/F Tower 1, Ayala Triangle, Ayala Avenue, Makati City.
  2. BDO Unibank, Inc.
    • Account Type: Dollar
    • Account Name: UNICAPITAL SECURITIES, INC.
    • Account No.: 103600175003
    • Swift Code: BNORPHMM
    • Branch: Ayala Triangle 1 Branch
    • Address: GM-B G/F Tower 1, Ayala Triangle, Ayala Avenue, Makati City.
  3. UNIONBANK OF THE PHILIPPINES
    • Account Name: UNICAPITAL SECURITIES, INC.
    • Account Type: CURRENT-PHP
    • Account No.: 0097-0020-491
    • Branch: Paseo de Roxas
    • Address: G/F, 111 Paseo de Roxas Building, 109 Paseo de Roxas, Legazpi Village, Makati City
  4. BANK OF THE PHILIPPINE ISLANDS
    • Account Name: UNICAPITAL SECURITIES, INC.
    • Account No.: 3211-0849-86
  5. CHINA BANKING CORPORATION 
    • Account Name: UNICAPITAL SECURITIES, INC.
    • Account No.: 115-143791-6

You can fund your UTrade account through GCash’s Pay Bills feature! 

Simply search for “UTRADE” and prepare to input your Account Number and Account Name before payment.

You can fund your UTrade account through UnionBank Online’s Pay Bills feature!

Simply search for “UNICAPITAL SECURITIES INC” in the Billers List and be prepared to input your Client Code, Client Name, and User ID before payment.

You may visit our office during business hours, from 9:00 AM to 5:00 PM, Monday to Friday, to make check deposits or payments. Please note that cash deposits should be made directly to the banks maintained by USI.

Our business address is:
Unicapital Securities, Inc.
3/F Majalco Building, Benavidez corner Trasierra Streets,
Legaspi Village, Makati City 1229

If you are outside the Philippines, you can wire funds to the USI bank accounts using the remittance instructions given below:

  1. Account Name : Unicapital Securities, Inc.
    Account Number : S/A 360-000079-3
    Name of Bank : Banco de Oro
    Branch : Ayala Triangle
    Swift Code : BNORPHMM
  2. Account Name :Unicapital Securities, Inc.
    Account Number : C/A 321-1084986
    Name of Bank : Bank of the Philippine Islands
    Branch : Corinthian Plaza
    Swift Code : BOPIPHMM
  3. Account Name :Unicapital Securities, Inc.
    Account Number : C/A 115143791-6
    Name of Bank : China Banking Corp.
    Branch : Legaspi-AIM
    Swift Code : CHBKPHMM

Note: In accordance with the banks’ clearing cycle, check payments/deposits will be credited to your account three (3) days after the payment or deposit is made.

At any M Lhuillier branch, fill out the transaction slip and proceed to the counter for payment. Please provide the following details under Bills Payment:

  • Biller: UTrade/Unicapital Securities, Inc.
  • Reference Number: Your OL CODE
  • Type of Transaction: Renewal/Top-up

Please note that service fees charged by M Lhuillier will be added to your deposited amount. Fees may vary depending on the transfer amount.

Switch to UTrade

Instead of a cash or check deposit, you also have the option to transfer your existing stockholdings from another stock brokerage to your UTrade account. To do this, you must provide your local stockbroker with written instructions to transfer your stockholdings to Unicapital Securities, Inc. (USI).

Equity Trade refers to the process of transferring your electronic shares between USI and another broker. This request follows the procedures below:

A scanned copy of the request will suffice.

  1. Provide USI with a copy of your EQTrade Form from your current broker.
  2. Open an online trading account with USI.

    Note: The PHP 75.00 per stock processing fee for transferring shareholdings from another broker to USI is usually waived.

USI will notify you once your shares have been reflected in your online account.

Electronic transfers are typically completed within two (2) to three (3) working days, depending on the counter-execution process of the receiving stockbroker. Requests received beyond 3:00 PM will be processed on the next business day.

A hard copy of the request is required.

  1. Fill out the EQTrade Request Form.
  2. Submit the original, completed, and signed EQTrade Form to our main office. We also recommend furnishing a copy to your receiving broker or sending them a separate instruction.

    Submission Address:
    Unicapital Securities, Inc.
    3/F Majalco Building, Benavidez corner Trasierra Streets,
    Legaspi Village, Makati City 1229
    📅 Office Hours: Monday to Friday (except holidays), 9:00 AM – 5:00 PM
  3. Pay the EQTrade fee of PHP 200.00 per stock, regardless of the number of shares. This fee can be charged to your online account, provided your account has a sufficient cash balance to cover it.

Trading

You can begin trading once your account has been funded and activated. Upon approval and activation, you will receive an email notification indicating your username and default password.

You may view this video for a quick UTrade tutorial:
UTrade Platform Navigation – Basic Overview

Trading on the PSE is conducted in board lots, which determine the minimum number of shares you can buy based on the stock’s price at the time of purchase.

The Price Fluctuation and Board Lot Chart is available on our website. Simply navigate to “STOCK INFO” on the menu bar and select “BOARD LOT TABLE” from the dropdown options.

You can trade (buy/sell) any stock listed in the Philippine Stock Exchange.

Yes, orders can be cancelled or modified provided they have not yet been matched.

Yes, you can place Good-Till-Month (GTM) or Good-Till-Week (GTW) orders.

  • A GTM order remains active for one month.
  • A GTW order remains active for seven (7) calendar days.

If you have a posted order that is not matched after trading hours, the funds will be credited back to your online account unless it is a GTW or GTM order.

Yes, you can buy other stocks immediately once your sell order has been matched.

However, you may only purchase stocks up to the amount of the net proceeds from the sale transaction.

Trade confirmations will be sent to your UTrade account on the next trading day after a trade has been executed. You can view or download the confirmations once you are logged in.

Your statement of account will be sent to your online account at the end of each month. You must have a PDF viewer, such as Adobe Acrobat, installed on your PC or terminal to access these documents.

Currently, withdrawal requests are available only on the UTrade Online Platform and not on the mobile app.

To request a withdrawal of funds, please follow these steps:

  1. Log in to your UTrade account via the web platform.
  2. In the MAIN tab, click on “SERVICES”, then select “WITHDRAWAL” from the dropdown menu.
  3. Click “Withdrawal Request”.
  4. Enter the withdrawal amount (minimum withdrawal is PHP 500.00).
  5. Click “Submit”.

Note:

  • Withdrawal requests from selling proceeds are subject to approval.
  • Once approved, processing will take two (2) business days.
  • Approved withdrawals will be deposited directly into the bank settlement account specified in your Online Trading Account Application Form.

Account Maintenance

  1. Log in to the UTrade web platform using your current username and password.
  2. On the navigation bar, click “ACCOUNT”, then select “Change Password”.
  3. Enter your current password, followed by your new password.
  4. Confirm your new password by re-entering it in the “Confirm Password” field.
  5. Click “Submit” to save your new password.
  6. You can now log in using your new password.

If you forget your username or password, kindly send an email to [email protected] for assistance.

Alternatively, you may follow these steps:

  1. On the login page, click “Forgot Password” beside the login button.
  2. Fill out the required fields (Username, Hint to password, and Answer to Hint), then click “Submit”.
  3. A system-generated password will be sent to you via email.
  4. If you wish to change this password: On the navigation bar, click “ACCOUNT”, then select “Change Password”.

“Upliftment” is the process of converting your electronic shares (scriptless) with Unicapital Securities, Inc. (USI) into a physical certificate for personal safe keeping. Please note that once your shares are in certificate form, they will no longer reflect on your UTrade account.

The request for conversion of electronic shares to certificates shall follow the following procedures:

  1. Provide an originally signed Upliftment Request Form
  2. Accomplish one (1) Signature Card per stock certificate regardless of number of shares
  3. Photocopy two (2) valid Government-issued IDs (photo and signature must be both present and clear)
  4. Submit the originally signed request form and Signature Card together with copies of your two (2) valid IDs to the USI Main Office
  5. Pay the appropriate Upliftment Fee which is P220.00 for every stock certificate. This can be charged to your online account provided your account has sufficient cash balance to cover the upliftment fee.

At times, the Transfer Agent may require you to personally appear in their office. We will notify you if this is required. Processing may take one (1) to two (2) months depending on the Transfer Agent. We will notify you once the stock certificates are available for release. If the certificates will be picked up by a representative, please make sure that he/she can present a valid ID (including the shareholder’s) and a duly signed Authorization Letter to claim the physical certificates.

Unicapital Securities, Inc.
3/F Majalco Building, Benavidez corner Trasierra streets,
Legazpi Village, Makati City 1229

*Mondays through Fridays except holidays, 9AM – 5PM

Should you wish to sell your existing stock certificates, these should first be converted into scriptless form before your stocks can be traded in the Exchange.

Lodgment is the process of converting your Stock Certificates into electronic shares (scriptless). This will then be credited to your online trading account (UTrade) with Unicapital Securities, Inc. (USI). In connection with this, please take note of the following reminders and procedures:

  • The name appearing in the stock certificates should have the same name as that appearing in your UTrade account
  • The duly endorsed stock certificates should be personally submitted to the USI Main Office (we discourage submission via courier as there may be a risk of losing the physical certificate)
    • Accomplish a Signature Card per stock certificate (this will be provided onsite)
    • Submit copies of your 2 Government-issued IDs (signature and picture must be both present and clear)
    • Affix your handwritten signature at the back of the certificate. (Please ensure that the signature is the same as the signature in the signature cards and IDs presented)
    • Pay the appropriate lodgment fee which is P100.00 + P77.00 for the first certificate and additional P77.00 for every succeeding certificate (per stock basis)

Processing will take 3 to 5 business days upon receipt of the documents or depending on the processing time of the Transfer Agent or if there are no discrepancies with the requirements. Once the shares are cleared, it will be credited to your online account. You may sell the shares once it is posted and appears in your online account.

You may contact Unicapital Securities/UTrade via the contact details below:

  • Main Office Address:
    Address: 3/F Majalco Building, Benavidez corner Trasierra Streets, Legaspi Village Makati City
  • Email: [email protected] / [email protected]
  • Telephone: (632) 8823-5344 / 8892-0991 to 96

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