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Institutional Investment Manager
Regal Investment Advisors LLC
Regal Investment Advisors LLC (CIK: 0001559789) incorporated in Michigan, located at 2687 44th Street Se, Kentwood, MI. Institutional holdings reported to the SEC.
Institutional Holdings (2014Q1)
Original 13F HR (0001398344-14-002246) filed in 2014.04.18
#
Name
Shares
Value ($)
%
Options
Notes
451 BONY MELLON PREF 5.20% MDT 09/ 500 11 0.00%
452 US BANCORP DEL 249 11 0.00%
453 ECHOSTAR CORP CL A 236 11 0.00%
454 VANGUARD LONG TERM BOND ETF 131 11 0.00%
455 DIREXION SHS ETF TRUST DAILY 20 YR TREASURY BEAR 200 11 0.00%
456 CROWN CASTLE INTL CORP 150 11 0.00%
457 CREDIT SUISSE AG NASSAU BRH 200 11 0.00%
458 L BRANDS INC 200 11 0.00%
459 ROSS STORES INC 149 11 0.00%
460 CNH INDL N V 921 11 0.00%
461 BARCLAYS BANK 500 12 0.01%
462 PowerShares Russell Midcap Equal Wt ETF 335 12 0.01%
463 Pandora Media Inc 400 12 0.01%
464 UNILEVER N V 297 12 0.01%
465 CBRE CLARION GLOBAL REAL EST 1,400 12 0.01%
466 ISHARES TR 109 12 0.01%
467 GENERAL AMERN INVS CO INC 333 12 0.01%
468 POWERSHARES ETF TRUST 116 12 0.01%
469 ISHARES TR 200 12 0.01%
470 BEYOND INC 600 12 0.01%
471 POWERSHARES ETF TRUST 400 12 0.01%
472 PORTLAND GEN ELEC CO 375 12 0.01%
473 WPX ENERGY INC 666 12 0.01%
474 SUN LIFE FINL INC 346 12 0.01%
475 NOODLES AND CO CL A 300 12 0.01%
476 PARKER HANNIFIN CORP 100 12 0.01%
477 INVESCO MORTGAGE CAPITAL INC 800 13 0.01%
478 POWERSHS DB MULTI SECT COMM 470 13 0.01%
479 ANIKA THERAPEUTICS INC 325 13 0.01%
480 Alcoa Inc 1,007 13 0.01%
481 SODASTREAM INTERNATIONAL LTD 300 13 0.01%
482 FERRELLGAS PARTNERS L.P. UNIT LTD PART 560 13 0.01%
483 POWERSHARES ETF TR II 909 13 0.01%
484 POWERSHARES N/C 6/4/18 46138E636 435 13 0.01%
485 TECO ENERGY INC COM 743 13 0.01%
486 DENBURY RESOURCES INC 775 13 0.01%
487 POWERSHARES ETF TRUST 650 13 0.01%
488 KBR INC 479 13 0.01%
489 RPC INC 691 14 0.01%
490 NEXTERA ENERGY INC 150 14 0.01%
491 HERCULES CAPITAL INC 1,000 14 0.01%
492 JAZZ PHARMACEUTICALS PLC 100 14 0.01%
493 WESTERN ASSET HIGH INCM FD I 1,500 14 0.01%
494 TJX COS INC NEW 231 14 0.01%
495 B P Prudhoe Bay Rlty Tr Unit B 160 14 0.01%
496 CAESARSTONE LTD 284 15 0.01%
497 CIENA CORP 650 15 0.01%
498 ISHARES TR 261 15 0.01%
499 Ishares - Japan 1,350 15 0.01%
500 AGRIUM INC 150 15 0.01%
Page 10 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 119,690 4,908 2.08%
2 SPDR SERIES TRUST 100,360 4,147 1.76%
3 VANGUARD INDEX FDS 58,544 4,134 1.75%
4 SPDR S&P 500 ETF TR 21,558 4,032 1.71%
5 APPLE INC 7,078 3,799 1.61%
6 ISHARES TR 51,467 3,459 1.46%
7 AT&T INC 92,953 3,260 1.38%
8 SPDR SER TR 92,709 2,871 1.22%
9 ISHARES TR 71,465 2,789 1.18%
10 ISHARES TR 23,431 2,726 1.15%
11 SELECT SECTOR SPDR TR 121,889 2,723 1.15%
12 ISHARES TR 14,322 2,695 1.14%
13 VANGUARD TAX-MANAGED FDS 64,799 2,674 1.13%
14 SELECT SECTOR SPDR TR 55,220 2,611 1.11%
15 VANGUARD INDEX FDS 32,749 2,558 1.08%
16 VANGUARD MALVERN FDS 50,516 2,492 1.05%
17 POWERSHARES QQQ TRUST 28,311 2,482 1.05%
18 ADVANCE AUTO PARTS INC 19,377 2,451 1.04%
19 NEWMARKET CORP 6,225 2,433 1.03%
20 ISHARES RUSSELL 3000 ETF 21,294 2,392 1.01%
21 ISHARES TR 27,557 2,385 1.01%
22 ALLIANCE RES PARTNER L P 28,148 2,368 1.00%
23 SPDR SERIES TRUST 54,892 2,329 0.99%
24 VANGUARD BD INDEX FDS 27,951 2,239 0.95%
25 CONOCOPHILLIPS 31,690 2,229 0.94%
26 MASTERCARD INCORPORATED 29,648 2,215 0.94%
27 COMPUTER PROGRAMS & SYS INC COM 33,719 2,178 0.92%
28 ISHARES TR 18,501 2,164 0.92%
29 VARIAN MED SYS INC 25,691 2,158 0.91%
30 PRICELINE GRP INC 1,754 2,091 0.89%
31 UNITED THERAPEUTICS CORP DEL 22,236 2,091 0.89%
32 SOUTHWEST AIRLS CO 87,500 2,066 0.87%
33 CREDIT ACCEP CORP MICH 14,445 2,053 0.87%
34 NATUS MEDICAL INC. 78,841 2,034 0.86%
35 CUMMINS INC 13,556 2,020 0.86%
36 INTER PARFUMS INC COM 55,716 2,017 0.85%
37 LEAR CORP 24,070 2,015 0.85%
38 VANGUARD INTL EQUITY INDEX F 34,186 2,015 0.85%
39 FACTSET RESH SYS INC 18,647 2,010 0.85%
40 JPMORGAN CHASE & CO 42,489 1,977 0.84%
41 ESTERLINE TECHNOLOGIES CORP 18,432 1,964 0.83%
42 ISHARES TR 3YRTB ETF 20,376 1,953 0.83%
43 GAP 48,696 1,951 0.83%
44 RPX CORP 118,106 1,923 0.81%
45 CELGENE CORP 13,763 1,921 0.81%
46 OLD DOMINION FREIGHT LINE IN 33,474 1,899 0.80%
47 ABBVIE INC 36,868 1,895 0.80%
48 SALIX PHARMACEUTICALS INC 18,111 1,876 0.79%
49 GENERAL ELECTRIC CO 70,461 1,824 0.77%
50 BIOGEN INC 5,699 1,743 0.74%
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