After successfully opening a securities account with CapTrader, you would like to transfer a securities account that is currently still held with another broker or bank to CapTrader? You are welcome to transfer your securities account to CapTrader.
Should you wish to transfer a few securities, please use the instructions for simple transfer of securities: How do I transfer my securities account to CapTrader?
If, on the other hand, you would like to more than 30 different securities to CapTrader, please use the Instruction on this page.
You can find more information on the topic of securities account transfer on our page Deposit transfer.
In principle, also Employee shares, Private equity investments of companies going public and Deposit transfers from Canadian or U.S. banks / brokers be carried out. In these special cases, please write us a short e-mail to the info@captrader.com.
Preparation of Excel
Use our Excel template by downloading it in the exclusive customer area CapTrader Plus (prior registration as a customer in the Plus area is required). Then open the Excel and enter the data of your securities to be transferred into the Excel.
Note: The file must be a CSV file (values must be separated by commas) and the following fields must be included depending on the security type:
- US mutual funds: symbol, shares, stock exchange (optional)
- US bonds: CUSIP, par value
- Warrants: symbol, shares, long/short, put/call, execution price (optional), expiration date (optional)
- Stocks: Symbol, Stocks, Long/Short, Non-U.S. (optional), Stock Exchange (optional)
- Options: Underlying symbol, contracts, long/short, put/call, execution price, expiration date, non-U.S. (optional)
Now delete the headings from Excel as shown in the following example.
Now save the file in the csv format (*.csv) file. Afterwards click with the right mouse button on the file and select "Open with editor".
Now click the Key combination CTRL and H. Then select in the field "Search for" the semicolon symbol (;) and select in the field "Replace with" the comma symbol (,). Then select the button "Replace all".
Now all lines should end with letters or numbers. If there are still special characters at the end of a line, please delete them.
Now save the file as file type "Text file" (*.txt) file. Important: Please enter the extension .csv in the file name and then save the file.
Dialing into the account management and uploading the CSV file
After dialing into the Account Management (Client Portal) the path > Transfer&Numbers > Transfer positions.https://www.captrader.com/wp-content/uploads/2020/08/captrader_client_portal_transfer_positionen-Kopie-3.png
Select type of transaction
Now please select the button > Incoming.
Select type of transaction
Now, for the transfer method, select the region with the headquarters of your previous broker (usually this is for European banks: All Other Regions) and then at the selected method click the button > Select.
Enter broker information
Now select the previous broker, enter the account number and account title as well as contact information of the previous broker.
If your previous broker is not listed, please contact CapTrader customer support.
Then please provide this information:
- Your account number (Account Number at Broker)
- Your first and last name (account name)
- the Account types
- Name, e-mail address and telephone number of the contact person. If this is not applicable, please provide the general information.
Notice: If you do not have a personal contact person at your previous broker, simply enter the main address or the general contact details of the broker.
Now save all your entries by clicking at > Save broker instruction set the controller to > YES make visible.
Add assets
Now please add your assets with the help of your created CSV file under the item > CSV upload added.
Selection of securities to be transferred
You will now see the overview compiled in Excel. Please tick at this point of the securities account transfer all securities to be transferred and confirm this information by clicking on the button > Transmit click.
Now you will see a summary of your previously made entries. Please confirm this information by entering your virtual signature (typing the displayed name) in the empty field. By clicking on the button > Continue the process is completed at CapTrader.
Important: Please also create an order for the securities account transfer at the sending institution (the selling broker). Without this order, the securities account transfer cannot be executed.
For this purpose, please print out the overview of the securities account transfer, save it as a PDF and send it to your previous broker.
Some institutions use in-house forms for outgoing securities account transfers. We will be happy to assist you in completing these forms. If you have any questions, please feel free to contact us at info@captrader.com.