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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 ($)
%
Options
Notes
701 SPDR INDEX SHS FDS 114 8 0.00%
702 Inland Real Estate Corp 750 8 0.00%
703 WISDOMTREE TR 100 8 0.00%
704 On Assignment Inc 200 8 0.00%
705 STAMPS COM INC COM NEW 237 8 0.00%
706 TABLEAU SOFTWARE INC 100 8 0.00%
707 BLUE EARTH INC COM 3,000 8 0.00%
708 CAPITAL ONE FINL CORP 99 8 0.00%
709 THERMO FISHER SCIENTIFIC INC 70 8 0.00%
710 NUVEEN PFD INCOME OPPORTUN 830 8 0.00%
711 SOUTH JERSEY INDS INC COM 150 8 0.00%
712 NUVEEN PREFERRED SECURITIES 950 8 0.00%
713 WESTERN GAS PARTNERS LP 126 8 0.00%
714 KELLOGG CO 120 8 0.00%
715 SYNTEL INCORPORATED 75 7 0.00%
716 ATLANTIC PWR CORP 2,335 7 0.00%
717 GLADSTONE INVT CORP 800 7 0.00%
718 VIAD CORP 294 7 0.00%
719 INVESCO SR INCOME TR 1,372 7 0.00%
720 INSYS THERAPEUTICS INC NEW 180 7 0.00%
721 American Water Works, Inc. 146 7 0.00%
722 KANSAS CITY SOUTHERN 70 7 0.00%
723 REYNOLDS AMERICAN INC 132 7 0.00%
724 MONDELEZ INTL INC 214 7 0.00%
725 RBS CAP FDG TR VI PFD TR 6.25% GTD 300 7 0.00%
726 Altius Minerals Corp. 500 7 0.00%
727 OPEN TEXT CORP 140 7 0.00%
728 QUALITY SYS INC 400 7 0.00%
729 WISDOMTREE TR 100 7 0.00%
730 WISDOMTREE TR 100 7 0.00%
731 DEUTSCHE BK AG LDN BRH 500 7 0.00%
732 ISHARES TR 194 7 0.00%
733 TEMPLETON EMERGING COM 477 7 0.00%
734 ADOBE INC 100 7 0.00%
735 Acxiom Corp 200 7 0.00%
736 PLC CAP TR V TOPRS 6.125 34 300 7 0.00%
737 SPDR SERIES TRUST 101 7 0.00%
738 NATIONAL HEALTH INVS INC 119 7 0.00%
739 NEOGEN CORP COM 165 7 0.00%
740 POWERSHARES ETF TRUST 190 7 0.00%
741 Van Eck 246 7 0.00%
742 NETGEAR INC 200 7 0.00%
743 SLM CORP 295 7 0.00%
744 CABELAS INC 100 7 0.00%
745 MARATHON OIL CORP 202 7 0.00%
746 GENERAL MTRS CO 294 7 0.00%
747 NCR CORP NEW 163 6 0.00%
748 FLAME SEAL PRODS INC COM 50,036 6 0.00%
749 FLOWSERVE CORP 80 6 0.00%
750 ZAGG INCORPORATED 1,244 6 0.00%
Page 15 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 4,325 32 0.01%
2 FRONTLINE LTD ORD 760 3 0.00%
3 LIFE STORAGE INC 20 0 0.00%
4 OI S.A. SPN ADR 312 0 0.00%
5 Williams Partners Lp 400 20 0.01%
6 3-D SYS CORP DEL 2,960 175 0.07%
7 3M CO 2,710 368 0.16%
8 51JOB INC 479 34 0.01%
9 ABBOTT LABS 4,859 187 0.08%
10 ABBVIE INC 36,868 1,895 0.80%
11 ACCENTURE PLC IRELAND 406 32 0.01%
12 ACE LTD 364 36 0.02%
13 ACUITY BRANDS INC 130 17 0.01%
14 ADAMS DIVERSIFIED EQUITY FD 1,424 18 0.01%
15 ADOBE INC 100 7 0.00%
16 ADVANCE AUTO PARTS INC 19,377 2,451 1.04%
17 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
18 ADVENT CLAYMORE ENH GRW & IN 325 3 0.00%
19 ADVISORSHARES TR 62 3 0.00%
20 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
21 AEGON N V 221 2 0.00%
22 AETNA INC NEW 415 31 0.01%
23 AFLAC INC 7,561 477 0.20%
24 AGL Resources Inc 100 5 0.00%
25 AGRIUM INC 150 15 0.01%
26 AIR PRODS & CHEMS INC 2,498 297 0.13%
27 AK STL HLDG CORP 3,245 23 0.01%
28 AKAMAI TECHNOLOGIES INC 400 23 0.01%
29 ALEXION PHARMACEUTICALS INC 200 30 0.01%
30 ALLIANCE DATA SYSTEMS CORP 91 25 0.01%
31 ALLIANCE RES PARTNER L P 28,148 2,368 1.00%
32 ALLIANCEBERNSTEIN GLOBAL HIG 2,205 33 0.01%
33 ALLIANCEBERNSTEIN HLDG L P 600 15 0.01%
34 ALLIANT ENERGY CORP 1,715 97 0.04%
35 ALLIANZGI CONV & INCOME FD 1,900 19 0.01%
36 ALLSTATE CORP 185 10 0.00%
37 ALPS ETF TR 95,086 1,679 0.71%
38 ALPS ETF TR 300 9 0.00%
39 ALTRIA GROUP INC 43,314 1,621 0.69%
40 AMBEV SA 11,915 88 0.04%
41 AMER STATES WTR CO 3,325 107 0.05%
42 AMEREN CORP 2,550 105 0.04%
43 AMERICAN ELEC PWR INC 4,304 218 0.09%
44 AMERICAN INTL GROUP INC 68 1 0.00%
45 AMERICAN INTL GROUP INC 212 11 0.00%
46 AMERICAN RLTY CAP PPTYS INC 61,322 860 0.36%
47 AMERICAN WTR WKS CO INC NEW 146 7 0.00%
48 AMETEK INC NEW 1,350 70 0.03%
49 AMGEN INC 308 38 0.02%
50 ANADARKO PETR 205 17 0.01%
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