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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
1051 CLEAN POWER CONCEPTS INC COM 2,000 0 0.00%
1052 CALL (UA) UNDER ARMOUR INC MAR 0 0 0.00% Call
1053 CALL (VIG) VANGUARD SPECIALIZE 0 0 0.00% Call
1054 WASHINGTON NAT GAS CO W VA 500 0 0.00%
1055 AMERICARE HEALTH SCAN INC COM 18 0 0.00%
1056 WORLD MOTO INC COM 3,500 0 0.00%
1057 KRISPY KREME DOUGHNT 25 0 0.00%
1058 PGMI INC 200 0 0.00%
1059 CALL (WM) WASTE MANAGEMENT INC 0 0 0.00% Call
1060 AMERICAN HOME MORTGAGE 22 0 0.00%
1061 Wellstar International Inc (NV) 7,500 0 0.00%
1062 CALL (IDV) ISHARES APR 19 14 $ 0 0 0.00% Call
1063 CALL (IDV) ISHARES APR 19 14 $ 0 0 0.00% Call
1064 DIREXION SHS ETF TR 5 0 0.00%
1065 CALL (HDV) ISHARES TRUST HIGH 0 0 0.00% Call
1066 CALL (JNJ) JOHNSON & JOHNSON A 0 0 0.00% Call
1067 NORTEL NETWORKS 127 0 0.00%
1068 KONINKLIJKE AHOLD NV-SP ADR 126 0 0.00%
1069 CALL (KMB) KIMBERLY CLARK CORP 2 0 0.00% Call
1070 Spyglass Resources 188 0 0.00%
1071 CALL (HDV) ISHARES TRUST HIGH 0 0 0.00% Call
1072 CALL (KMP) KINDER MORGAN ENERG 0 0 0.00% Call
1073 CALL (HCP) HCP INC COM APR 19 0 0 0.00% Call
1074 CALL (GE) GENERAL ELECTRIC CO 13 0 0.00% Call
1075 CALL (KO) COCA COLA CO FEB 22 0 0 0.00% Call
1076 CALL (KO) COCA COLA CO MAY 17 0 0 0.00% Call
1077 CALL (GE) GENERAL ELECTRIC CO 0 0 0.00% Call
1078 CALL (LEG) LEGGETT & PLATT INC 0 0 0.00% Call
1079 KODIAK OIL & GAS CORP 25 0 0.00%
1080 CALL (MCD) MCDONALDS CORP APR 3 0 0.00% Call
1081 CALL (FB) FACEBOOK INC COM MAR 0 0 0.00% Call
1082 PEREGRINE PHARMACEUTICALS IN 100 0 0.00%
1083 CALL (MCD) MCDONALDS CORP MAR 0 0 0.00% Call
1084 CALL (ETR) ENTERGY CORP NEW MA 0 0 0.00% Call
1085 Corinthian Colleges, Inc. 260 0 0.00%
1086 Evergreen Solar Inc 34 0 0.00%
1087 CALL (MMM) 3M COMPANY APR 19 1 0 0 0.00% Call
1088 CALL (ETR) ENTERGY CORP NEW MA 0 0 0.00% Call
1089 CALL (MO) ALTRIA GROUP INC MAR 1 0 0.00% Call
1090 SOVEREIGN LITHIUM INC COM 250 0 0.00%
1091 CALL (MO) ALTRIA GROUP INC MAR 0 0 0.00% Call
1092 CITADEL BROADCASTING 13 0 0.00%
1093 SURECARE INC COM 1,000 0 0.00%
1094 CALL (ETR) ENTERGY CORP NEW MA 0 0 0.00% Call
1095 NICO TELCOM INC XXX 50 0 0.00%
1096 CALL (ETR) ENTERGY CORP NEW JU 0 0 0.00% Call
1097 FAIRPOINT COMMUNICATIONS INC COM NO STOCKHOLDER EQUITY 01/24/2011 58 0 0.00%
1098 CALL (ETR) ENTERGY CORP NEW JU 3 0 0.00% Call
1099 CALL (EMR) EMERSON ELECTRIC CO 0 0 0.00% Call
Page 22 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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