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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 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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