COL aims to be the most trusted wealth-building partner of every Filipino by helping them take control of their financial future by providing innovative, value-driven solutions, and easily accessible tools.
Established in 1999, COL Financial Group, Inc. (COL) is the leading online financial services provider in the Philippines. COL prides itself in making investing in the stock market accessible to everyone through its user-friendly online trading platform, which not only allows clients to manage their stock portfolios but also provides access to COL Fund Source, the leading online mutual fund supermarket in the Philippines. Additionally, COL helps investors take advantage of stock market opportunities by sharing knowledge and market expertise, and by offering access to expert opinions and comprehensive research through the Company's website. Moreover, COL provides continuous education and guidance to its clients through readily-available seminars, exclusive events, and dedicated customer support.
COL has a wholly-owned subsidiary, COL Securities (HK) Limited or COL HK. This subsidiary provides online stock brokerage services to Filipinos who want to invest in stocks listed in the Hong Kong Stock Exchange and the global markets.
To date, COL is the Philippines’ fastest-growing online stockbroker, trusted by over 250,000 clients.
To be the best and most trusted investment service provider for Filipino investors.
- To provide the best investing experience in everything that we do that will result in sustainable wealth creation for our customers.
- To provide a conducive and rewarding work environment for our employees.
- To create long-term value for our shareholders.
- Passion - the drive to produce results beyond expectations.
- Integrity - do the right thing at all times.
- Commitment - unwavering dedication to take positive action that delivers desired results.
- Excellence - focused purpose for continuous improvement.
- Teamwork - the "we" before the "me" working together to achieve the common goal.
Edward K. LeeChairman, Board of Directors
Edward K. Lee is a Bachelor of Science in Industrial Management Engineering graduate of De La Salle University. He is concurrently the Founder and Chairman of the Board of COL since 1999, COL Securities (HK) Limited since 2001, Citisecurities, Inc. since 1986, and Caylum Trading Institute since 2013. Mr. Lee served as a nominee of Citisecurities, Inc. to the Manila Stock Exchange and presently to the Philippine Stock Exchange. He was elected as one of the Governors of the Philippine Stock Exchange and was the Chairman of the Computerization committee of the Manila Stock Exchange and PSE in 1994. He went on to become a member of the Board of Directors of A. Soriano Corporation serving for two terms. Mr. Lee was also nominated as a finalist to the 2007 Entrepreneur of the Year Philippines by Ernst & Young. In 2015, he was awarded with the Theodore Vail Most Outstanding JA Alumni Awardee and in 2016, he was appointed as an official board member of JA Asia Pacific.
Alexander C. YuVice-Chairman, Board of Directors
Alexander C. Yu is a Bachelor of Science in Mechanical Engineering graduate of De La Salle University. He is currently the Vice Chairman of COL since 1999 and the Vice Chairman and Treasurer of Citisecurities, Inc. since 1986. He is also currently a Director of COL Securities (HK) Limited since 2001, elected as Director of Caylum Trading Institute in 2013 and also of Winner Industrial Corp. for more than 10 years. He is the proprietor of Trans-Asia General Merchandise and in 1997, served as a Director of A. Soriano Corporation.
Conrado F. BatePresident and Chief Executive Officer
Conrado F. Bate is a Bachelor of Arts in Economics and Bachelor of Science in Marketing Management graduate of De La Salle University. He is currently the President and Chief Executive Officer of COL. He has extensive experience in the Philippine stock brokerage and fund management industry. Prior positions that he held include: Vice President of JP Morgan Philippines in 2002; President and CEO of Abacus Securities Corporation from 1995 to 1997; and Vice President of Fund Management Division of Philamlife Insurance Company from 1990 to 1995. Mr. Bate was a member of the Board of Directors of the Philippine Stock Exchange (2005 to 2006) and served as its Chairman of the Investor Education Committee and Member of the Legislative Committee. He was an independent director of the ATR Kim Eng Asset Management from 2005 to 2010 and serves in the same capacity for Corston-Smith Asset Management Sdn. Bhd. from February 2009 to present.
Hernan G. LimDirector
Hernan G. Lim is currently the President of Hoc Po Feeds Corporation and the Executive Vice President of HGL Development Corporation. Mr. Lim is a Director of Caylum Trading Institute since 2013, and has also been a Director of Citimex, Inc., Citisecurities, Inc., CWC Development, Inc., Barrington Carpets, Inc. and CWC Industries, Inc. for more than 10 years. He holds a Bachelor of Science degree in Electronics and Communications Engineering from the University of Santo Tomas. He also took the Basic Management Course at the Asian Institute of Management.
Paulwell Han is a graduate of Business Finance at San Francisco State University, USA. He is currently the Director and General Manager of different corporations located in Hong Kong namely: Etta Trading Company Limited, Yee Ting Tong Company Limited, Tecworld Investment Co., Ltd., Silver Jubilee Co., Ltd., and Sunning Restaurant.
Raymond C. YuDirector
Raymond C. Yu is a Bachelor of Science in Commerce graduate of De La Salle University in 1974. He is currently the President of Winner Industrial Corporation, elected as a director of Caylum Trading Institute in 2013, and a director of more than 16 years of the following corporations: Citisecurities, Inc., CWC Development, Inc., Barrington Carpets, Inc., Citimex, Inc., and CWC International, Inc.
Wellington C. YuDirector
Wellington C. Yu finished his BS Chemical Engineering at De La Salle University in 1965 and his MBA and MS Chemical Engineering from the University of Pittsburgh. From 1973 to 1985, he was the Dean of the College of Business and Economics of De La Salle University and of the Graduate School of Business from 1981 to 1984. He was conferred the title of Dean Emeritus in the College of Business and Economics. He was the Senior Vice President of Tropical Rent-A-Car in Hawaii from 1986 to 1990 and President of Suntrips, Inc. of San Jose, California from 1990 to 1997. In 2012, Xavier School San Juan awarded the "Exemplary Alumnus" title to Dean Yu. He is presently the Dean of the College at Philippine Cultural College in Manila.
Catherine L. OngDirector, Senior Vice President, Chief Financial Officer and Treasurer
Catherine L. Ong is the President of Citisecurities, Inc. and Executive Vice President and Treasurer of CWC Group of Companies, which includes CWC Industries, Inc., Barrington Carpets, Inc., Citimex, Inc. and CWC International Corporation. She has held the latter position for more than 20 years. She has extensive experience in banking, having held various positions in Metropolitan Bank and Trust Company (Metrobank). She was an Assistant Vice President and Area Supervisor of Metrobank and served as a Director of Metrobank’s subsidiary, Pan Philippines Life Insurance Corp. (now known as Philippine Axa Life). Ms. Ong graduated from the Philippine Women’s University with a Bachelor of Science Degree in Business Administration, Major in Accounting.
Joel A. LitmanDirector
Joel Litman was elected as director on August 12, 2011. Mr. Litman is currently Chief Investment Strategist and Managing Director of Valens Securities, Inc. headquartered in New York City. He serves as Chairman and CEO of Valens Credit LLC, Valens Equities, and the Institute of Strategy & Valuation. Previously, he held Director/Manager positions at Credit Suisse First Boston, Deloitte Consulting, and American Express. He is co-author of the book, DRIVEN: Business Strategy, Human Actions, and the Creation of Wealth which was published in Harvard Business Review. Professor Litman is a faculty member of Hult International Business School and has lectured at Harvard and other MBA programs. He is Chairman of the Foundation for Socioeconomic Advancement focused on philanthropic efforts, particularly in the Philippines. He is a Certified Public Accountant in the United States and a member of the Global CFA Institute. He received his B.S. Accountancy at DePaul University and his MBA/MM from the Kellogg Graduate School of Management at Northwestern University.
Hokushin Kido was elected as director on May 15, 2017. He is currently the head of Global Business Development Section in International Business Planning Department of Daiwa Securities Group Inc., where he promotes international alliance and investment strategy. He has extensive experience in the sales and trading business since he started his career in Daiwa Securities Group Inc. in 2002. He earned his BA in English at Kansai Gaidai University, and his MBA at the University of North Carolina Kenan-Flagler Business School.
Khoo Boo BoonIndependent Director
Khoo Boo Boon has extensive experience in commodities trading, stock trading, advertising, marketing research and corporate managements and has held senior executive position in the ASEAN region. He currently runs his own management and consulting firm, Knowledge-Based Business Intelligence and Consulting (KBBIC) and sits on the Board of Directors of GTF Worldwide Philippines, Geka Property Holdings, Inc., and Bethel Home Holdings Inc. Mr. Khoo is an alumnus of the Asian Institute of Management where he earned a Masters degree in Development Management in 1990 as Canadian International Development Agency (CIDA) Fellow.
Caesar A. GuerzonCorporate Secretary, SVP and Head of Compliance, Legal, Human Resource and Administration
Caesar A. Guerzon is concurrently a Director of COL Securities (HK) Limited and the Corporate Secretary of Citisecurities, Inc., CWC International, Inc., CWC Industrial Corporation and Barrington Carpets, Inc. He is also the Chairman of the Board of the Rural Bank of Sta. Maria, Ilocos Sur, Inc., and serves as President of the Board of Trustees of COG – Makati, Inc. and Secretary to the Sangguniang Barangay of Bel-Air, Makati City. He was member of the Governance Committee of the Philippine Stock Exchange and the Legislative Committee of the Philippine Association Securities Brokers & Dealers. Mr. Guerzon finished his Bachelor of Science in Foreign Service in 1972 and Bachelor of Laws in 1976 at the University of the Philippines and was admitted to the Philippine Bar in 1977. He is a licensed Certified Securities Representative and a member of the Integrated Bar of the Philippines.
Juan G. BarredoVice President for Sales and Customer Support Services
Juan “Juanis” G. Barredo is the Vice President of Sales & Customer Support for COL, manages the day-to-day operations of COL's Business Center, its Sales division as well as its Customer Service division. He also spearheads the COL Investor Seminar Series, the flagship investor education program of the Company, geared to empower COL customers and the investing public to build their knowledge base through a series of progressive stock market training sessions so that they can confidently invest in the Philippine Stock Market. He has addressed an audience of over 80,000 people nationwide in the last six years with topics ranging from the basics of stock market investing to introductory and advanced technical analysis seminars. Mr. Barredo holds a Bachelor of Arts degree in Philosophy from De La Salle University in 1990 and is a Certified Securities Representative.
Nikos J. BautistaVice President and Chief Technology Officer
Nikos J. Bautista is the Chief Technology Officer of COL. He was also a consultant and a committee member for the Trading System Project of the PSE which was launched successfully mid-2010 and for various projects of the PDEX. He was with the I.T. Department of the PSE as manager, in charge of all the I.T.-related activities of the Exchange from 1993 to 1997. In 1997, he joined Computershare, an Australian-based software development Company specializing in trading systems wherein he took charge of all technical aspects of the business. In 2000, he put up a software development company, Finatechs, Inc., where he served as its President and Chief Executive Officer until 2003. Mr. Bautista is a graduate of De La Salle University with a Bachelor of Computer Science Degree with Masteral Courses in Computer Science.
Lorena E. VelardeVice President and Financial Controller
Lorena E. Velarde was appointed as Financial Controller of COL in 2010 after having served as the Company's Head of Accounting from 2001 to 2009. She is concurrently the Associated Person of Citisecurities, Inc. She was previously the Accounting Department Head of Citisecurities, Inc. and Citisec Asset Management, Inc., the fund manager for Citisec Growth and Income Fund, Inc. Before that, she was a Senior Associate in-charge at SyCip Gorres Velayo & Co. which provided her extensive training in tax, accounting and financial reporting. Ms. Velarde graduated from the University of Santo Tomas with a Bachelor of Science Degree in Commerce Major in Accounting in 1991 and became a Certified Public Accountant on the same year.
April Lynn L. TanVice President and Head of Research Department
April Lynn L. Tan has been the head of COL’s Research Team since 2003. She has been doing equities research since 1996 when she joined the research team of Citisecurities, Inc. Ms. Tan holds a Bachelor of Science Degree in Management Engineering from the Ateneo de Manila University. She is a Certified Securities Representative and in 2000, earned the right to use the Chartered Financial Analyst (CFA) designation. She is currently the President of the CFA Society of the Philippines. Under her term as president, CFA Philippines won the "Global CFA Institute Research Challenge" twice and several Society Excellence Awards including the “Most Outstanding Society” for its size. The Society also became the country sponsor for the Global Investment Performance Standards (GIPS) together with the local "Fund Managers’ Association of the Philippines" and the "Trust Officers Association of the Philippines."
Melissa O. NgAssistant Vice President and Head of Operations Department
Melissa O. Ng graduated with a degree of Bachelor of Science in Applied Economics and a Bachelor of Science Degree in Business Management from De La Salle University. She earned her MBA (Silver Medalist) from De La Salle University in 2000. She has been with the Company since 2007 and has previous banking experience from Security Bank and Union Bank of the Philippines.
Sharon T. LimAssistant Vice President and Head of HR, Legal and Compliance Departments
Sharon T. Lim started with the Company in 2011 as Compliance and Legal Officer and was appointed as AVP and Head of HR, Legal and Compliance Departments in 2016. She was previously a Senior Associate of Puyat, Jacinto and Santos Law Offices and an Associate of Picazo Buyco Tan Fider and Santos Law Offices. Ms. Lim graduated with a degree of Bachelor of Science in Management Engineering in 2002 at the Ateneo de Manila University and Bachelor of Laws in 2006 at the University of the Philippines. She was admitted to the Philippine Bar in 2007 and is a licensed Associated Person.
Marvin V. FaustoBusiness Development ConsultantEdmund P. MartinezHead of Premium GroupMark C. IlaoBusiness Development Manager
Independent Financial Advisor
Roselle M. AlladoIndependent Financial AdvisorHoward G. CoIndependent Financial AdvisorKristine M. ColaycoIndependent Financial AdvisorIsmael T. CuanIndependent Financial AdvisorKyle Joshua C. DandanIndependent Financial AdvisorBrian C. DiazIndependent Financial AdvisorVannessa R. DulaliaIndependent Financial AdvisorMatt Elvis A. FloresIndependent Financial AdvisorLuis Lorenzo C. Gonzaga IIIIndependent Financial AdvisorDiana T. GueIndependent Financial AdvisorEdward C. JacintoIndependent Financial AdvisorRochelle M. LacunaIndependent Financial AdvisorFranklin B. LapidIndependent Financial AdvisorMalaya A. LarayaIndependent Financial AdvisorMichael A. LecarosIndependent Financial AdvisorRonaldo S. LegaspiIndependent Financial AdvisorKristell T. LimIndependent Financial AdvisorMark C. MariposaIndependent Financial AdvisorJodelle C. MateoIndependent Financial AdvisorJose Javier K. MedinaIndependent Financial AdvisorMark Emmanuel S. MontelibanoIndependent Financial AdvisorStephen S. ObleaIndependent Financial AdvisorXavier Ignacio M. OrtigasIndependent Financial AdvisorMark W. PeIndependent Financial AdvisorJose Ma. S. RectoIndependent Financial AdvisorAlfredo B. ReyesIndependent Financial AdvisorMarc I. Reyes-LaoIndependent Financial AdvisorPatrick G. SantosIndependent Financial AdvisorCeline F. SarmentaIndependent Financial AdvisorAlan N. TanIndependent Financial AdvisorPatrick Vincent U. TsaiIndependent Financial AdvisorEleanore L. TeoIndependent Financial AdvisorVenus E. VillaverIndependent Financial AdvisorMichael C. ViñasIndependent Financial AdvisorKristine Diane M. YcoIndependent Financial AdvisorRonald Martin L. YuIndependent Financial Advisor
Legal & Compliance
Rea P. OrtezaAssociated PersonNathalie M. GarciaAssociated Person
Private Clients Group
John P. GatmaytanJoint-Head - Private Clients Group, StockbrokerGeorge C. WongJoint-Head - Private Clients Group, StockbrokerAileen S. ArandaSenior Equity Investments Advisor, Private Clients GroupRalph J. CobarrubiasEquity Investments Advisor, Private Clients GroupFrancis T. DiazHead, Business & Sales, Private Clients GroupIra P. GanhinhinHead, Sales Trading, Private Clients GroupJose S. LaurelEquity Investments Advisor, Private Clients GroupCandice L. LehSenior Equity Investments Advisor, Private Clients GroupFrancis G. MallillinSenior Equity Investments Advisor, Private Clients GroupMaria Naomi A. MisaCertified Securities RepresentativeRon Jamie J. ReyesInvestments Advisor, Private Clients GroupReginald Angelo H. SantiagoEquity Investments Advisor, Private Clients GroupJoseph H. TangHead, Institutional Sales, Private Clients GroupAdrian C. TobiasHead, Relationship & Advisory, Private Clients GroupPatrick S. Uy-tiocoHead, Dealing & Execution, Private Clients GroupZerge B. ZanduetaHead, Product, Private Clients Group
Charles O. AngDeputy Head of ResearchRichard G. LanedaResearch Senior Manager
Sales & Customer Support
Keziah V. BarramedaNew Accounts AssociateJacqueline T. BasbasSales SupervisorBonna Liza A. BelencionSales AssociateJoyce G. ChanSales Support ManagerCamila D. ConcepcionSales AssociateMadonna de Leon-ImpresoClient Experience ManagerGem C. KalawNew Accounts AssociateRowena A. LubatonInvestor Center ManagerSheila A. MaghariClient Experience ManagerJovielyn S. MarcosNew Accounts SupervisorCristine M. NuevasCustomer Service AssociateChristchelle Q. QuintosCustomer Service SupervisorJhoanna J. QuitonNew Accounts AssociateJanet R. RodriguezInvestor Center Manager/Independent Financial Advisor
Alpha Ian Genesis L. MacalinaoSales AssistantMaribel D. Roque-OlsonSales AssociateJenny E. SeniningSales AssociateMichele B. TanSales AssociateCamille S. BondocNew Accounts AssistantMa. Concepcion B. De CastroInvestor Center OfficerIrish Raycelle Ann T. EnriquezNew Accounts AssistantMary Josephine T. GoNew Accounts AssistantEnrique Miguel G. MendietaCorporate Relationship ManagerAbigail P. OlañoNew Accounts SpecialistMarian Cathleen C. SoClient Experience AssociateJanina Marie L. Sto. DomingoNew Accounts AssistantCamille Ann R. VillarazaNew Accounts Assistant
Click for larger size
- COL Financial 17A 2017
- COL Financial 17A 2016
- COL Financial 17A 2015
- COL Financial 17A 2014
- COL Financial 17A 2013
- COL Financial 17A 2012
- COL Financial 17A 2011
- COL Financial 17Q 1Q18
- COL Financial 17Q 3Q17
- COL Financial 17Q 2Q17
- COL Financial 17Q 1Q17
- COL Financial 17Q 3Q16
- COL Financial 17Q 1Q16
- COL Financial 17Q 3Q15
- COL Financial 17Q 2Q15
- COL Financial 17Q 1Q15
- COL Financial 17Q 3Q14
- COL Financial 17Q 2Q14
- COL Financial 17Q 1Q14
- COL Financial 17Q 3Q13
- COL Financial 17Q 2Q13
- COL Financial 17Q 1Q13
- COL Financial 17Q 3Q12
- COL Financial 17Q 2Q12
- COL Financial 17Q 1Q12
- COL Financial 17Q 3Q11
- 2018 1Q Earnings press release
- 2017 FY Earnings press release
- 2017 3Q Earnings press release
- 2017 2Q Earnings press release
- 2017 1Q Earnings press release
- 2016 FY Earnings press release
- 2016 3Q Earnings press release
- 2016 1Q Earnings press release
- 2015 FY Earnings press release
- 2015 3Q Earnings press release
- 2015 2Q Earnings press release
- 2015 1Q Earnings press release
- 2014 FY Earnings press release
- 2014 3Q Earnings press release
- 2014 2Q Earnings press release
- 2014 1Q Earnings press release
- 2013 FY Earnings press release
- 2013 3Q Earnings press release
- COL Financial Annual Report 2015
- COL Financial Annual Report 2014
- COL Financial Annual Report 2013
- COL Financial Annual Report 2012
- COL Financial Annual Report 2011
- COL Financial Annual Report 2010
- COL Investor Presentation 1Q2018
- COL Investor Presentation FY2017
- COL Investor Presentation 3Q2017
- COL Investor Presentation 2Q2017
- COL Investor Presentation 1Q2017
- COL Investor Presentation FY2016
- COL Investor Presentation 3Q2016
- COL Investor Presentation 1Q2016
- COL Investor Presentation FY2015
- COL Investor Presentation 3Q2015
- COL Investor Presentation 2Q2015
- COL Investor Presentation 1Q2015
- COL Investor Presentation FY2014
- COL Investor Presentation 9M2014
- COL Investor Presentation 2Q2014
- COL Investor Presentation 1Q2014
- COL Investor Presentation FY2013
- COL Investor Presentation 9M2013
- COL Investor Presentation NDR June 13
- COL Investor Presentation 1Q2013
- COL Investor Presentation 1Q2012
- COL Investor Presentation 1H2013
- COL Investor Presentation 1H2012
- COL Investor Presentation 9M2012
- COL Investor Presentation FY2012
- Organizational Chart
- Group Corporate Structure
- Shareholdings Structure
- Shareholder Rights
- Board Charter
- Audit Committee Charter
- Nomination Committee Charter
- Remuneration Committee Charter
- Corporate Governance Manual
- Code of Business Conduct and Ethics
- COL ACGR 2016
- COL ACGR 2012
- Attendance of the Board of Directors for the year 2017
- Attendance of the Board of Directors for the year 2016
- Attendance of the Board of Directors for the year 2014
- Attendance of the Board of Directors for the year 2013
- Updates and Changes as of December 31, 2013
- Consolidated changes in the ACGR for 2013
- Updates and Changes as of June 30, 2014
- Consolidated changes in the ACGR for June 30, 2014
- Consolidated changes in the ACGR for December 31, 2014
- Risk Management System
- Company's policies
- Amended General Information Sheet 2016
- General Information Sheet 2018
- General Information Sheet 2017
- General Information Sheet 2016
- General Information Sheet 2014
- Minutes of Annual Stockholders' Meeting 2014
- Minutes of Annual Stockholders' Meeting 2015
- Minutes of Annual Stockholders' Meeting 2016
- Minutes of Annual Stockholders' Meeting 2017
- Minutes of Annual Stockholders' Meeting 2018
- Total Outstanding Shares: 476,000,000
- Exchange where Listed: Philippine Stock Exchange
- Top 20 Stockholders Report
Board Committees and Members
|Raymond C. Yu||Member|
|Hernan G. Lim||Member||Nomination Committee|
|Khoo Boo Boon||Chairman|
|Alexander C. Yu||Member|
|Caesar A. Guerzon||Member||Remuneration Committee|
|Wellington C. Yu||Chairman|
|Catherine L. Ong||Member|
|Alexander C. Yu||Member|
Corporate Social Responsibility
|Investor Education Initiatives (ongoing)||Open to the Public|
|Tree Planting Activity (2012)||Old Sanitary Landfill, Antipolo City|
|Protect a Hectare (2013 & 2014)||La Mesa Watershed|