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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
151 FIRST TRUST EXCH TRADED FUND 2 MATERIALS ALPH ETF 10,106 337 0.14%
152 FISERV INC 5,850 332 0.14%
153 HUNTINGTON BANCSHARES INC 33,270 332 0.14%
154 SYSCO CORP 8,900 322 0.14%
155 VANGUARD SCOTTSDALE FDS 5,053 308 0.13%
156 Air Products & Chemicals Inc 2,498 297 0.12%
157 SPECTRA ENERGY PARTNERS LP 5,952 291 0.12%
158 VANGUARD WORLD FDS 2,619 290 0.12%
159 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 3,062 289 0.12%
160 INTEL CORP 11,120 287 0.12%
161 PIEDMONT OFFICE REALTY TR INC COM CL A 16,036 275 0.12%
162 PFIZER INC 8,484 273 0.11%
163 Baker Hughes Inc. 4,103 267 0.11%
164 ISHARES TR 2,168 261 0.11%
165 STRATASYS LTD 2,400 255 0.11%
166 STERICYCLE INC 2,200 250 0.10%
167 FIRST TRUST EXCH TRADED FUND 2 ENERGY ALPHADX ETF 9,500 249 0.10%
168 EBAY INC 4,486 248 0.10%
169 Walgreens 3,679 243 0.10%
170 FEDEX CORP 1,799 238 0.10%
171 ISHARES TR 966 228 0.10%
172 VANGUARD INDEX FDS 2,638 224 0.09%
173 CHEVRON CORP NEW 1,872 223 0.09%
174 ISHARES TR 2,632 222 0.09%
175 AMERICAN RLTY CAP PPTYS INC PF 9,752 222 0.09%
176 ILLINOIS TOOL WKS INC 2,722 221 0.09%
177 AMERICAN ELECTRIC POWER 4,304 218 0.09%
178 NUVEEN DIV ADV MUNI FD 3 PFD S 21,398 214 0.09%
179 VANGUARD SCOTTSDALE FDS 3,326 211 0.09%
180 UNITED STATES STL CORP NEW 7,547 208 0.09%
181 ENTERPRISE PRODS PARTNERS L 2,966 206 0.09%
182 HELIX ENERGY SOLUTIONS GRP INC COM 8,970 206 0.09%
183 ANNALY CAP MGMT INC 18,388 202 0.08%
184 WAL-MART STORES INC 2,625 201 0.08%
185 CINTAS CORP 3,300 197 0.08%
186 POTASH CORP SASK INC 5,400 196 0.08%
187 WELLS FARGO & CO NEW 3,898 194 0.08%
188 TARGET CORP 3,179 192 0.08%
189 KBS REAL ESTATE INVT TR INC 42,733 190 0.08%
190 TOTAL S A 2,900 190 0.08%
191 ISHARES TR 1,669 189 0.08%
192 CISCO SYS INC 8,332 187 0.08%
193 FIFTH THIRD BANCORP 8,151 187 0.08%
194 Abbott Labs Common 4,859 187 0.08%
195 ISHARES TR 1,743 185 0.08%
196 HESS CORP 2,217 184 0.08%
197 ROYAL DUTCH SHELL PLC 2,330 182 0.08%
198 Baxter Intl Inc 2,414 178 0.07%
199 ISHARES TR 2,054 176 0.07%
200 HSBC HLDGS PLC 6,900 176 0.07%
Page 4 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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