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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
201 ISHARES TR 3,431 175 0.07%
202 3-D SYS CORP DEL 2,960 175 0.07%
203 RETAIL PPTYS AMER INC CL A 12,870 174 0.07%
204 INTERNATIONAL BUSINESS MACHS 900 173 0.07%
205 FIRST TR EXCHANGE TRADED FD 5,360 172 0.07%
206 VANGUARD WORLD FD 1,322 170 0.07%
207 VANGUARD INDEX FDS 1,817 170 0.07%
208 VANGUARD INTL EQUITY INDEX F 4,173 169 0.07%
209 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN 4,246 168 0.07%
210 ISHARES TR 2,355 167 0.07%
211 VANGUARD INDEX FDS 1,331 165 0.07%
212 SPDR SERIES TRUST 2,765 164 0.07%
213 ISHARES 5,230 164 0.07%
214 ISHARES TR 1,522 163 0.07%
215 ISHARES INC 4,700 161 0.07%
216 HSBC USA INC SERIES H 6.50% PF 6,350 160 0.07%
217 ISHARES TR 1,046 160 0.07%
218 FIRST TRUST EXCH TRADED FUND 2 INDLS PROD DUR ETF 5,440 160 0.07%
219 VODAFONE GROUP PLC NEW 4,330 159 0.07%
220 ISHARES TR 1,407 157 0.07%
221 OMNICOM GROUP INC 2,134 155 0.07%
222 CNL Lifestyle Properties Inc 22,591 155 0.07%
223 VANGUARD SPECIALIZED FUNDS 2,066 155 0.07%
224 UNDER ARMOUR INC 1,338 153 0.06%
225 EXPRESS SCRIPTS HLDG CO 2,015 151 0.06%
226 BP PLC SPONS 3,065 147 0.06%
227 LEGGETT &PLATT INC 4,500 147 0.06%
228 BLDRS INDEX FDS TR 3,958 144 0.06%
229 ECOLAB INC 1,334 144 0.06%
230 MERCK & CO INC 2,516 143 0.06%
231 VANGUARD WHITEHALL FDS 2,195 139 0.06%
232 ISHARES INC 2,824 139 0.06%
233 BUCKEYE PARTNERS L P 1,835 138 0.06%
234 ONEOK PARTNERS LP 2,572 138 0.06%
235 NEWMONT CORP 5,811 136 0.06%
236 EXELON CORP 4,040 136 0.06%
237 DU PONT E I DE NEMOURS & CO 2,014 135 0.06%
238 ENERGY TRANSFER PRTNRS L P 2,508 135 0.06%
239 SPDR DOW JONES INDL AVRG ETF 818 134 0.06%
240 WISDOMTREE TR 2,433 133 0.06%
241 RPM INTL INC 3,145 132 0.06%
242 ISHARES TR 1,176 132 0.06%
243 EATON CORP PLC 1,761 132 0.06%
244 Medtronic Inc 2,017 124 0.05%
245 AXA SA SPONS ADR ISIN#US0545361075 4,764 124 0.05%
246 HOME DEPOT INC 1,555 123 0.05%
247 DISNEY WALT CO 1,537 123 0.05%
248 PIMCO ETF TR 1,181 120 0.05%
249 VANGUARD INDEX FDS 1,390 120 0.05%
250 POWERSHARES ETF TRUST 1,408 119 0.05%
Page 5 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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