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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
251 ORACLE CORP 2,794 114 0.05%
252 MORGAN STANLEY 3,618 113 0.05%
253 NUVEEN MICH QUALITY MUN INCO 8,279 112 0.05%
254 PLAINS ALL AMERN PIPELINE L 2,040 112 0.05%
255 ISHARES TR 1,010 112 0.05%
256 SPIRIT RLTY CAP INC NEW 10,089 111 0.05%
257 KINDER MORGAN INC DEL 3,400 110 0.05%
258 ISHARES TR 2,649 110 0.05%
259 MAGELLAN MIDSTREAM PRTNRS LP 1,560 109 0.05%
260 MGM RESORTS INTERNATIONAL 4,200 109 0.05%
261 ROYAL DUTCH SHELL PLC 1,476 108 0.05%
262 Archer-Daniels-Midland 2,500 108 0.05%
263 American States Water Co 3,325 107 0.04%
264 WESTPORT FUEL SYSTEMS INC 7,350 106 0.04%
265 AMEREN CORP 2,550 105 0.04%
266 NATIONAL FUEL GAS CO N J 1,477 103 0.04%
267 ISHARES TR 1,263 103 0.04%
268 ISHARES TR 863 103 0.04%
269 CONAGRA BRANDS INC 3,300 102 0.04%
270 JPMORGAN CHASE & CO 1,660 101 0.04%
271 Alliant Energy Corp 1,715 97 0.04%
272 PHILIP MORRIS INTL INC 1,189 97 0.04%
273 E M C CORP MASS COM 3,508 96 0.04%
274 SELECT SECTOR SPDR TR 2,188 94 0.04%
275 POWERSHARES ETF TRUST 1,657 94 0.04%
276 ISHARES RUSSELL 2000 GROWTH ETF 681 93 0.04%
277 ISHARES TR 1,372 93 0.04%
278 ISHARES NASDAQ BIOTECHNOLOGY ETF 83 93 0.04%
279 ISHARES TR 1,113 93 0.04%
280 WERNER ENTERPRISES INC 3,600 92 0.04%
281 SIRIUS XM HOLDINGS INC 28,300 91 0.04%
282 PIMCO ETF TR 841 90 0.04%
283 FREEPORT-MCMORAN INC 2,714 90 0.04%
284 COMCAST CORP NEW 1,788 89 0.04%
285 BLACKROCK LIMITED DURATION INCORPORATED TR COM SHS 5,186 89 0.04%
286 AMBEV SA 11,915 88 0.04%
287 PATTERSON COS INC 2,095 87 0.04%
288 BRISTOL MYERS SQUIBB CO 1,637 85 0.04%
289 COACH INC 1,689 84 0.04%
290 FMC TECHNOLOGIES INC 1,600 84 0.04%
291 DTE ENERGY CO 1,116 83 0.03%
292 VANGUARD WORLD FD 913 83 0.03%
293 Crestwood Equity Partners LP 6,000 83 0.03%
294 HUNT J B TRANS SVCS INC 1,148 83 0.03%
295 WILLIAMS COS INC DEL 2,000 81 0.03%
296 STANLEY BLACK &DECKER INC 1,000 81 0.03%
297 SPDR INDEX SHS FDSDJ GLB RL ES ETF 1,841 80 0.03%
298 RESMED INC 1,800 80 0.03%
299 POWERSHARES ETF TRUST 3,832 79 0.03%
300 EOG RES INC 781 77 0.03%
Page 6 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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