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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 PROTHENA CORP PLC 3 0 0.00%
2 Quantum Fuel Systems Tech Worl 4 0 0.00%
3 RARE ELEMENT RES LTD 100 0 0.00%
4 ROYAL BK SCOTLAND GROUP PLC 15 0 0.00%
5 SONY GROUP CORP 10 0 0.00%
6 TIM PARTICIPACOES S A 5 0 0.00%
7 JA SOLAR HOLDINGS COMPANY LIMITED SPON ADR REP5ORD 40 0 0.00%
8 Corinthian Colleges, Inc. 260 0 0.00%
9 ELECTRONIC ARTS INC 2 0 0.00%
10 KODIAK OIL & GAS CORP 25 0 0.00%
11 FOREST OIL CORP 200 0 0.00%
12 KRISPY KREME DOUGHNT 25 0 0.00%
13 GAIAM INC 51 0 0.00%
14 LIFE STORAGE INC 20 0 0.00%
15 LULULEMON ATHLETICA INC 490 0 0.00%
16 MALLINCKRODT PUB LTD CO 5 0 0.00%
17 Chimera Investment Corp REIT 65 0 0.00%
18 MARTHA STEWART LIVING OMNIME 108 0 0.00%
19 DIREXION SHS ETF TR 5 0 0.00%
20 Neo Performance Materials 100 0 0.00%
21 NANOMETRICS INC 20 0 0.00%
22 NU SKIN ENTERPRISES INC 6 0 0.00%
23 OI S.A. SPN ADR 312 0 0.00%
24 OI S A SPONSORED ADR 80 0 0.00%
25 PEREGRINE PHARMACEUTICALS IN 100 0 0.00%
26 ETFS PHYSICAL PLATINUM SHARES 10 1 0.00%
27 YAHOO INC 15 1 0.00%
28 TELEFONICA BRASIL SA 26 1 0.00%
29 Cimpress NV 30 1 0.00%
30 Adt Corp 20 1 0.00%
31 UNISYS CORP 32 1 0.00%
32 SUNTRUST BKS INC 29 1 0.00%
33 STMICROELECTRONICS N V 130 1 0.00%
34 AMERICAN INTL GROUP INC 68 1 0.00%
35 IAMGOLD CORP 180 1 0.00%
36 POWERSHARES ETF TRUST II 75 1 0.00%
37 ZIMMER BIOMET HLDGS INC 12 1 0.00%
38 BROOKFIELD PPTY PARTNERS L P 57 1 0.00%
39 C&J ENERGY SVCS INC 33 1 0.00%
40 CAPELLA EDUCATION 12 1 0.00%
41 CARLYLE GROUP L P 35 1 0.00%
42 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 429 1 0.00%
43 Nam Tai Property Inc 190 1 0.00%
44 MACATAWA BK CORP 200 1 0.00%
45 LUBYS INC COM 130 1 0.00%
46 LOGITECH INTL S A 100 1 0.00%
47 LINN ENERGY LLC UNIT LTD LIAB 25 1 0.00%
48 LIME ENERGY CO COM 357 1 0.00%
49 LAWSON PRODS INC COM 85 1 0.00%
50 KENNAMETAL INC 20 1 0.00%
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