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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
851 UNITEDHEALTH GROUP INC 38 3 0.00%
852 SILVER STD RES INC 300 3 0.00%
853 TOTAL SYS SVCS INC 90 3 0.00%
854 NATCORE TECHNOLOGY INC 3,000 3 0.00%
855 SOCIEDAD QUIMICA Y MINERA DE 79 3 0.00%
856 NEVSUN RES LTD 1,000 3 0.00%
857 New Residential Investment Cor 500 3 0.00%
858 SUNPOWER CORP 100 3 0.00%
859 DECKERS OUTDOOR CORP 20 2 0.00%
860 SIMON PPTY GROUP INC NEW 15 2 0.00%
861 CASH AMER INTL 50 2 0.00%
862 STONERIDGE INC COM 200 2 0.00%
863 BREITBURN ENERGY PARTNERS LP COM 115 2 0.00%
864 Teekay Offshore Partners LP 68 2 0.00%
865 STAPLES INC 164 2 0.00%
866 COMMUNITY HEALTH SYS INC NEW 40 2 0.00%
867 HSBC HLDGS PLC 42 2 0.00%
868 AEGON N V 221 2 0.00%
869 HUGOTON RTY TR TEX 200 2 0.00%
870 MITSUBISHI UFJ FINL GROUP INCORPORATED SPONSORED ADR 347 2 0.00%
871 ISABELLA BK CORP COM 100 2 0.00%
872 Star Bulk Carriers Corp. 116 2 0.00%
873 COMPANIA DE MINAS BUENAVENTU 140 2 0.00%
874 MOTORS LIQUIDATION CO. TRUST 79 2 0.00%
875 SUMITOMO MITSUI FINL GROUP I 205 2 0.00%
876 CALL (BAC) BANK OF AMERICA JAN 28 2 0.00% Call
877 CLIFFS NAT RES INC 120 2 0.00%
878 STATOIL ASA 80 2 0.00%
879 SPECTRUM PHARMACEUTICALS INC COM 200 2 0.00%
880 Panasonic Elec Indl Ltd Spon ADR 150 2 0.00%
881 REGENCY ENERGY PARTNERS 70 2 0.00%
882 TYCO INTL LTD. 41 2 0.00%
883 Warren Resources Inc 409 2 0.00%
884 REVOLUTION LIGHTING TECHNOLO COM 500 2 0.00%
885 DISCOVER FINL SVCS 30 2 0.00%
886 SHIP FINANCE INTERNATIONAL L 120 2 0.00%
887 LEVEL 3 COMM 51 2 0.00%
888 SWEDISH EXPT CR CORP 208 2 0.00%
889 DOMINION DIAMOND CORP 150 2 0.00%
890 CALL (OSTK) OVERSTOCK COM INC 5 2 0.00% Call
891 TELUS CORP 40 2 0.00%
892 AKZO NOBEL NV-ADR 75 2 0.00%
893 GOLDMAN SACHS GROUP INC 14 2 0.00%
894 PANERA BREAD CO 10 2 0.00%
895 AUTODESK INC 50 2 0.00%
896 PDL BIOPHARMA INC 200 2 0.00%
897 NUVEEN FLTNG RTE INCM OPP FD 169 2 0.00%
898 FIRST MAJESTIC SILVER CORP 110 1 0.00%
899 CITIGROUP INC REDEMPTION $25/SH 2/15/18 30 1 0.00%
900 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 429 1 0.00%
Page 18 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 JDS UNIPHASE CORP COM PAR $0.001 256 4 0.00%
2 REVOLUTION LIGHTING TECHNOLO COM 500 2 0.00%
3 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 4,325 32 0.01%
4 FRONTLINE LTD ORD 760 3 0.00%
5 LIFE STORAGE INC 20 0 0.00%
6 OI S.A. SPN ADR 312 0 0.00%
7 PEABODY ENERGY CORP 1,181 19 0.01%
8 Williams Partners Lp 400 20 0.01%
9 3-D SYS CORP DEL 2,960 175 0.07%
10 3M CO 2,710 368 0.16%
11 51JOB INC SP ADR REP COM 479 34 0.01%
12 ABBOTT LABS 4,859 187 0.08%
13 ABBVIE INC 36,868 1,895 0.80%
14 ACCENTURE PLC IRELAND 406 32 0.01%
15 ACE LTD 364 36 0.02%
16 ACUITY BRANDS INC 130 17 0.01%
17 ADAMS DIVERSIFIED EQUITY FD 1,424 18 0.01%
18 ADOBE INC 100 7 0.00%
19 ADVANCE AUTO PARTS INC 19,377 2,451 1.04%
20 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
21 ADVENT CLAYMORE ENH GRW & IN 325 3 0.00%
22 ADVISORSHARES TR 62 3 0.00%
23 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
24 AEGON N V 221 2 0.00%
25 AETNA INC NEW 415 31 0.01%
26 AFLAC INC 7,561 477 0.20%
27 AGL Resources Inc 100 5 0.00%
28 AGRIUM INC 150 15 0.01%
29 AIR PRODS & CHEMS INC 2,498 297 0.13%
30 AK STL HLDG CORP 3,245 23 0.01%
31 AKAMAI TECHNOLOGIES INC 400 23 0.01%
32 ALEXION PHARMACEUTIC 200 30 0.01%
33 ALLIANCE DATA SYSTEMS CORP 91 25 0.01%
34 ALLIANCE RES PARTNER L P 28,148 2,368 1.00%
35 ALLIANCEBERNSTEIN GLOBAL HIG 2,205 33 0.01%
36 ALLIANCEBERNSTEIN HLDG L P 600 15 0.01%
37 ALLIANT ENERGY CORP 1,715 97 0.04%
38 ALLIANZGI CONV & INCOME FD 1,900 19 0.01%
39 ALLSTATE CORP 185 10 0.00%
40 ALPS ETF TR 95,086 1,679 0.71%
41 ALPS ETF TR 300 9 0.00%
42 ALTRIA GROUP INC 43,314 1,621 0.69%
43 AMBEV SA 11,915 88 0.04%
44 AMER STATES WTR CO 3,325 107 0.05%
45 AMEREN CORP 2,550 105 0.04%
46 AMERICAN ELEC PWR INC 4,304 218 0.09%
47 AMERICAN INTL GROUP INC 68 1 0.00%
48 AMERICAN INTL GROUP INC 212 11 0.00%
49 AMERICAN RLTY CAP PPTYS INC 61,322 860 0.36%
50 AMERICAN WTR WKS CO INC NEW 146 7 0.00%
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