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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
51 SYNAPTICS INC 28,921 1,736 0.73%
52 METHODE ELECTRS INC COM 56,398 1,729 0.73%
53 JOHNSON & JOHNSON 17,432 1,712 0.72%
54 ALPS ETF TR 95,086 1,679 0.70%
55 DOW CHEM CO 33,635 1,634 0.69%
56 ALTRIA GROUP INC 43,314 1,621 0.68%
57 POWERSHARES DB CMDTY IDX TRA 60,791 1,588 0.67%
58 ISHARES TR 39,830 1,539 0.65%
59 ISHARES TR 14,190 1,531 0.64%
60 ISHARES TR 12,432 1,530 0.64%
61 VANGUARD INDEX FDS 13,322 1,513 0.63%
62 ISHARES TR 29,649 1,504 0.63%
63 ENTERGY CORP NEW 22,005 1,471 0.62%
64 CONSOLIDATED EDISON INC 27,237 1,461 0.61%
65 ISHARES TR 15,633 1,424 0.60%
66 FIRST TR EXCHANGE TRADED FD 23,670 1,397 0.59%
67 MCDONALDS CORP 13,956 1,368 0.57%
68 VANGUARD INDEX FDS 12,011 1,357 0.57%
69 POWERSHARES ETF TRUST 68,564 1,220 0.51%
70 ISHARES TR 10,684 1,177 0.49%
71 GS FIN CORP 64,412 1,171 0.49%
72 CLAYMORE EXCHANGE TRD FD TR 46,274 1,163 0.49%
73 ISHARES TR 15,026 1,102 0.46%
74 Magnum Hunter Resources Corp 126,696 1,077 0.45%
75 DUKE ENERGY CORP NEW 14,793 1,054 0.44%
76 SELECT SECTOR SPDR TR 16,945 991 0.42%
77 KIMBERLY CLARK CORP 8,744 964 0.40%
78 VERIZON COMMUNICATIONS INC 20,212 961 0.40%
79 SELECT SECTOR SPDR TR 26,405 960 0.40%
80 FORD MTR CO DEL 60,926 950 0.40%
81 NUSTAR ENERGY LP 17,095 939 0.39%
82 FIRST TR EXCHANGE TRADED FD 18,123 923 0.39%
83 FIRST TR EXCHANGE TRADED FD 32,184 896 0.38%
84 PNC FINL SVCS GROUP INC 9,927 864 0.36%
85 AMERICAN RLTY CAP PPTYS INC 61,322 860 0.36%
86 MICROSOFT CORP 20,639 846 0.35%
87 VANGUARD MORTG-BACK SEC ETF 15,632 808 0.34%
88 BERKSHIRE HATHAWAY INC DE CL B NEW 6,338 792 0.33%
89 PHILLIPS 66 10,073 776 0.33%
90 PROCTER AND GAMBLE CO 9,325 752 0.32%
91 CLOROX CO DEL 8,227 724 0.30%
92 FIRST TR EXCHANGE TRADED FD 22,168 691 0.29%
93 POWERSHARES ETF TR II 24,507 686 0.29%
94 NUCOR CORP 13,506 683 0.29%
95 EXXON MOBIL CORP 6,969 681 0.29%
96 ISHARES MSCI EAFE SMALL CAP IDX FD 12,429 649 0.27%
97 ISHARES TR 8,753 625 0.26%
98 UNITED PARCEL SERVICE INC 6,374 621 0.26%
99 COCA COLA CO 15,950 617 0.26%
100 FIRST TR EXCHANGE TRADED FD 25,048 608 0.26%
Page 2 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%
Page 1 of 19