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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 ($)
%
Options
Notes
551 Andersons Inc 300 18 0.01%
552 CPFL ENERGIA S A 1,113 18 0.01%
553 CVS HEALTH CORP 240 18 0.01%
554 EASTMAN CHEM CO 210 18 0.01%
555 EATON VANCE TAX MANAGED GLOB 1,491 18 0.01%
556 FIREEYE INC 300 18 0.01%
557 FRANKLIN MUT SER FD INC MUT IN 1,148 18 0.01%
558 FRANKLIN UNVL TR 2,500 18 0.01%
559 GLAXOSMITHKLINE PLC 338 18 0.01%
560 ISHARES 20 YEAR TREASURY BOND ETF 165 18 0.01%
561 MFA FINANCIAL INC COM 2,297 18 0.01%
562 NORTHERN TRUST 277 18 0.01%
563 RYDEX ETF TRUST 252 18 0.01%
564 SPECTRA ENERGY CORP 484 18 0.01%
565 TELEFONICA S A 1,151 18 0.01%
566 WESTLAKE CHEM CORP 274 18 0.01%
567 MCCORMICK & CO INC 235 17 0.01%
568 BE Aerospace Inc. 198 17 0.01%
569 SMUCKER J M CO 175 17 0.01%
570 LILLY ELI & CO 293 17 0.01%
571 MACQUARIE FIRST TR GLOBAL 1,000 17 0.01%
572 CABOT OIL & GAS CORP 500 17 0.01%
573 ACUITY BRANDS INC 130 17 0.01%
574 ONEOK INC NEW 280 17 0.01%
575 RED HAT INC 320 17 0.01%
576 ANADARKO PETROLE 205 17 0.01%
577 E.ON AG ADR 850 17 0.01%
578 WESTERN UN CO 1,000 16 0.01%
579 SPDR SER TR 375 16 0.01%
580 UNION PAC CORP 85 16 0.01%
581 SPIRIT AIRLS INC 273 16 0.01%
582 FIRSTENERGY CORP 457 16 0.01%
583 SCHLUMBERGER LTD 164 16 0.01%
584 PROSHARES TR II 888 16 0.01%
585 WISDOMTREE U S 236 16 0.01%
586 PROSHARES TR 350 16 0.01%
587 GERDAU S A 2,574 16 0.01%
588 VERIFONE SYS INC 460 16 0.01%
589 CMS ENERGY CORP 500 15 0.01%
590 MENS WEARHOUSE INC 305 15 0.01%
591 ALLIANCEBERNSTEIN HLDG L P 600 15 0.01%
592 DUNKIN BRANDS GROUP INC COM 301 15 0.01%
593 Ishares - Japan 1,350 15 0.01%
594 ASSOCIATED EST RLTY 900 15 0.01%
595 AGRIUM INC 150 15 0.01%
596 CALIFORNIA WTR SVC GROUP 610 15 0.01%
597 TIME WARNER CABLE INC 111 15 0.01%
598 CAESARSTONE LTD 284 15 0.01%
599 ISHARES TR 261 15 0.01%
600 WYNN RESORTS LTD 68 15 0.01%
Page 12 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
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 TR 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 DEL 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 FGHT LINES INC 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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