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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 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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