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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
301 SELECT SECTOR SPDR TR 1,836 76 0.03%
302 VECTOR GROUP LTD 3,543 76 0.03%
303 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
304 CHICOS FAS INC 4,703 75 0.03%
305 PAYCHEX INC 1,767 75 0.03%
306 FIRST TR EXCHANGE TRADED FD 1,500 75 0.03%
307 ROCKWOOD HOLDINGS INC 1,000 74 0.03%
308 PROSPECT CAPITAL CORPORATION 6,888 74 0.03%
309 HALLIBURTON CO 1,237 73 0.03%
310 PROSHARES TR 816 73 0.03%
311 PROSHARES TR 2,403 73 0.03%
312 DISH NETWORK A 1,180 73 0.03%
313 STARBUCKS CORP 1,000 73 0.03%
314 Wells Fargo & Co New Dep1/1000 3,300 72 0.03%
315 UNITED TECHNOLOGIES CORP 613 72 0.03%
316 AMETEK INC 1,350 70 0.03%
317 Bank of New York Mellon Corp 1,950 69 0.03%
318 POWERSHARES ETF TRUST 2,999 69 0.03%
319 DBX ETF TR 2,494 68 0.03%
320 WASTE MGMT INC DEL 1,600 67 0.03%
321 SPDR SERIES TRUST 720 67 0.03%
322 Wells Fargo Bank 3,125 67 0.03%
323 DEERE & CO 730 66 0.03%
324 Crestwood Midstream Partners LP 2,939 66 0.03%
325 CITIGROUP INC 1,366 65 0.03%
326 VANGUARD WORLD FD 1,015 65 0.03%
327 CHENIERE ENERGY INC 1,165 64 0.03%
328 FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF 2,890 64 0.03%
329 EXTREME NETWORKS COM 10,990 64 0.03%
330 ARCELORMITTAL SA LUXEMBOURG 3,945 64 0.03%
331 W P CAREY INC 1,053 63 0.03%
332 NOVO-NORDISK A S 1,310 60 0.03%
333 SELECT SECTOR SPDR TR 918 59 0.02%
334 FACEBOOK INC 980 59 0.02%
335 ISHARES TR 573 58 0.02%
336 MGE ENERGY INC 1,482 58 0.02%
337 SPDR INDEX SHS FDS 1,383 57 0.02%
338 ISHARES TR 661 57 0.02%
339 Wells Fargo & Co New 1,950 57 0.02%
340 ISHARES 1,025 56 0.02%
341 Curis, Inc 20,000 56 0.02%
342 ISHARES 7-10 YEAR TREASURY BOND ETF 546 56 0.02%
343 VISA INC 250 54 0.02%
344 JOHNSON CTLS INTL PLC 1,137 54 0.02%
345 WATERS CORP 500 54 0.02%
346 WESTAR ENERGY 1,504 53 0.02%
347 NVIDIA CORPORATION 2,932 53 0.02%
348 TRANSOCEAN LTD 1,275 53 0.02%
349 NORTH EUROPEAN OIL RTY TR SH BEN INT 2,300 53 0.02%
350 HERSHEY CO 500 52 0.02%
Page 7 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 TR 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 DEL 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 FGHT LINES INC 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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