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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 ($)
%
Options
Notes
951 FANNIE MAE 80 0 0.00%
952 TIM PARTICIPACOES S A 5 0 0.00%
953 SONY GROUP CORP 10 0 0.00%
954 CALL (EEM) ISHARES MSCI MAR 22 0 0 0.00% Call
955 SONORAN ENERGY INC 1,652,441 0 0.00%
956 NU SKIN ENTERPRISES INC 6 0 0.00%
957 CALL (EEM) ISHARES MSCI FEB 22 0 0 0.00% Call
958 Decode Genetics, Inc. 3,500 0 0.00%
959 CALL (EEM) ISHARES MSCI FEB 22 0 0 0.00% Call
960 WHITEHALL ENTERPRISES INC COM 1,200 0 0.00%
961 CALL (EEM) ISHARES MSCI APR 19 0 0 0.00% Call
962 CALL (ED) CONSOLIDATED EDISON 0 0 0.00% Call
963 CALL (ED) CONSOLIDATED EDISON 0 0 0.00% Call
964 NATIONAL STL CORP 160,000 0 0.00%
965 EMERGING HEALTHCARE SOL 100 0 0.00%
966 ELECTRONIC ARTS INC 2 0 0.00%
967 CALL (XLF) SECTOR SPDR TR SHS 1 0 0.00% Call
968 NANOMETRICS INC 20 0 0.00%
969 CALL (NUE) NUCOR CORP APR 19 1 5 0 0.00% Call
970 CALL (ED) CONSOLIDATED EDISON 0 0 0.00% Call
971 CALL (DVY) ISHARES SELECT MAR 1 0 0.00% Call
972 ACUSPHERE INC COM NEW 55 0 0.00%
973 RARE ELEMENT RES LTD 100 0 0.00%
974 CALL (DUK) DUKE ENERGY CORP CO 0 0 0.00% Call
975 CALL (DUK) DUKE ENERGY CORP CO 3 0 0.00% Call
976 CALL (YHOO) YAHOO INC APR 19 1 0 0 0.00% Call
977 Tsingyuan Brewery Ltd. 4 0 0.00%
978 CALL (DOW) DOW CHEMICAL CO MAR 0 0 0.00% Call
979 SENSE TECHNOLOGIES INC COM 17,000 0 0.00%
980 CALL (P) PANDORA MEDIA INC MAR 0 0 0.00% Call
981 CALL SPDR SER TR 100 SDY+$ APR 0 0 0.00% Call
982 CALL (DOW) DOW CHEMICAL CO MAR 1 0 0.00% Call
983 CALL (DOW) DOW CHEMICAL CO MAR 0 0 0.00% Call
984 Quantum Fuel Systems Tech Worl 4 0 0.00%
985 CALL (DEM) WISDOMTREE EMERG FE 0 0 0.00% Call
986 DALEIGH HOLDINGS CORP DELISTED 200 0 0.00%
987 Uniontown Energy Xxx 1,000 0 0.00%
988 JA SOLAR HOLDINGS COMPANY LIMITED SPON ADR REP5ORD 40 0 0.00%
989 CALL (COP) CONOCOPHILLIPS MAR 0 0 0.00% Call
990 CALL (COP) CONOCOPHILLIPS FEB 0 0 0.00% Call
991 CALL (CLX) CLOROX CO DEL APR 1 3 0 0.00% Call
992 CALL (CINF) CINCINNATI FINL MA 0 0 0.00% Call
993 CALL (PAA) PLAINS ALL AMERICAN 0 0 0.00% Call
994 PROTHENA CORP PLC 3 0 0.00%
995 CALL (CINF) CINCINNATI FINL JU 0 0 0.00% Call
996 CALL (C) CITIGROUP INC JAN 17 1 0 0.00% Call
997 CALL (BAC) BANK OF AMERICA MAR 8 0 0.00% Call
998 CALL (PEP) PEPSICO INC APR 19 0 0 0.00% Call
999 CALL (APL) ATLAS PIPELINE MAY 0 0 0.00% Call
1000 CALL (AMJ) JPMORGAN CHASE & CO 0 0 0.00% Call
Page 20 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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