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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
1001 CALL (AFL) AFLAC INC FEB 22 14 0 0 0.00% Call
1002 CALL (AEP) AMERICAN ELEC PWR C 0 0 0.00% Call
1003 CALL (AEP) AMERICAN ELEC PWR C 0 0 0.00% Call
1004 CALL (ADP) AUTOMATIC DATA FEB 0 0 0.00% Call
1005 CALL (ABT) ABBOTT LABORATORIES 0 0 0.00% Call
1006 CALL (ABBV) ABBVIE INC COM MAY 0 0 0.00% Call
1007 CALL (ABBV) ABBVIE INC COM FEB 1 0 0.00% Call
1008 CALL (PFE) PFIZER INC MAR 22 1 0 0 0.00% Call
1009 CALL (PFF) ISHARES TR S&P U S 1 0 0.00% Call
1010 Neo Performance Materials 100 0 0.00%
1011 FOREST OIL CORP 200 0 0.00%
1012 CALL (PG) PROCTER & GAMBLE CO 0 0 0.00% Call
1013 ESC DWS RREEF REAL ESTATE II 1,483 0 0.00%
1014 CALL (PG) PROCTER & GAMBLE CO 0 0 0.00% Call
1015 CALL (PXD) PIONEER NATURAL MAR 0 0 0.00% Call
1016 COUNTY LINE ENERGY CORP 25,000 0 0.00%
1017 CALL (SO) SOUTHERN CO FEB 22 1 0 0 0.00% Call
1018 SATCON TECHNOLOGY CORP COM NEW 63 0 0.00%
1019 SAROSSA CAP PLC SHS 10,000 0 0.00%
1020 CALL (SPY) SPDR S&P 500 ETF AP 0 0 0.00% Call
1021 OI S.A. SPN ADR 312 0 0.00%
1022 CALL (SPY) SPDR S&P 500 ETF FE 0 0 0.00% Call
1023 CALL (SYY) SYSCO CORP FEB 22 1 0 0 0.00% Call
1024 FUTURE HEALTHCARE OF AMER COM 1,276 0 0.00%
1025 BIG BEAR MINING CORP NEW 4,000 0 0.00%
1026 GAIAM INC 51 0 0.00%
1027 MBT FINANCIAL CORP 2,308 0 0.00%
1028 MASS PETE INC COM NEW 9 0 0.00%
1029 MARTHA STEWART LIVING OMNIME 108 0 0.00%
1030 MALLINCKRODT PUB LTD CO 5 0 0.00%
1031 OI S A SPONSORED ADR 80 0 0.00%
1032 AVEC CORPORATION XXX 20 0 0.00%
1033 Magnum Hunter Res Corp Del Wts 04/15/16 8,770 0 0.00%
1034 CALL (T) AT&T INC APR 19 14 $3 0 0 0.00% Call
1035 CALL (T) AT&T INC FEB 22 14 $3 1 0 0.00% Call
1036 VELOCITY EXPRESS CORP COM STK 1 0 0.00%
1037 DIAMOND HITTS PRODUCTXXX 200 0 0.00%
1038 LULULEMON ATHLETICA INC 490 0 0.00%
1039 ATHEROGENICS INC COM 9,000 0 0.00%
1040 INDYMAC BANCORP INC 425 0 0.00%
1041 LIFE STORAGE INC 20 0 0.00%
1042 CALL (T) AT&T INC FEB 22 14 $3 0 0 0.00% Call
1043 Viragen Inc 500 0 0.00%
1044 ITRONICS INC COM NEW 2 0 0.00%
1045 PENINSULA HLDGS GRP CXXX 10,000 0 0.00%
1046 Chimera Investment Corp REIT 65 0 0.00%
1047 CRYOPORT INC COM NEW 280 0 0.00%
1048 CALL (T) AT&T INC MAR 22 14 $3 0 0 0.00% Call
1049 ROYAL BK SCOTLAND GROUP PLC 15 0 0.00%
1050 ANPATH GROUP INC COM PAR $0.00 143 0 0.00%
Page 21 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
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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