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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 & COMPANY DEP 3,125 67 0.03%
323 DEERE & CO 730 66 0.03%
324 Crestwood Midstream Partners LP 2,939 66 0.03%
325 CITIGROUPINC 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 INC 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 PROTHENA CORP PLC 3 0 0.00%
2 Quantum Fuel Systems Tech Worl 4 0 0.00%
3 RARE ELEMENT RES LTD 100 0 0.00%
4 ROYAL BK SCOTLAND GROUP PLC 15 0 0.00%
5 SONY GROUP CORP 10 0 0.00%
6 TIM PARTICIPACOES S A 5 0 0.00%
7 JA SOLAR HOLDINGS COMPANY LIMITED SPON ADR REP5ORD 40 0 0.00%
8 Corinthian Colleges, Inc. 260 0 0.00%
9 ELECTRONIC ARTS INC 2 0 0.00%
10 KODIAK OIL & GAS CORP 25 0 0.00%
11 FOREST OIL CORP 200 0 0.00%
12 KRISPY KREME DOUGHNT 25 0 0.00%
13 GAIAM INC 51 0 0.00%
14 LIFE STORAGE INC 20 0 0.00%
15 LULULEMON ATHLETICA INC 490 0 0.00%
16 MALLINCKRODT PUB LTD CO 5 0 0.00%
17 Chimera Investment Corp REIT 65 0 0.00%
18 MARTHA STEWART LIVING OMNIME 108 0 0.00%
19 DIREXION SHS ETF TR 5 0 0.00%
20 Neo Performance Materials 100 0 0.00%
21 NANOMETRICS INC 20 0 0.00%
22 NU SKIN ENTERPRISES INC 6 0 0.00%
23 OI S.A. SPN ADR 312 0 0.00%
24 OI S A SPONSORED ADR 80 0 0.00%
25 PEREGRINE PHARMACEUTICALS IN 100 0 0.00%
26 ETFS PHYSICAL PLATINUM SHARES 10 1 0.00%
27 YAHOO INC 15 1 0.00%
28 TELEFONICA BRASIL SA 26 1 0.00%
29 Cimpress NV 30 1 0.00%
30 Adt Corp 20 1 0.00%
31 UNISYS CORP 32 1 0.00%
32 SUNTRUST BKS INC 29 1 0.00%
33 STMICROELECTRONICS N V 130 1 0.00%
34 AMERICAN INTL GROUP INC 68 1 0.00%
35 IAMGOLD CORP 180 1 0.00%
36 POWERSHARES ETF TRUST II 75 1 0.00%
37 ZIMMER BIOMET HLDGS INC 12 1 0.00%
38 BROOKFIELD PPTY PARTNERS L P 57 1 0.00%
39 C&J ENERGY SVCS INC 33 1 0.00%
40 CAPELLA EDUCATION 12 1 0.00%
41 CARLYLE GROUP L P 35 1 0.00%
42 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 429 1 0.00%
43 Nam Tai Property Inc 190 1 0.00%
44 MACATAWA BK CORP 200 1 0.00%
45 LUBYS INC COM 130 1 0.00%
46 LOGITECH INTL S A 100 1 0.00%
47 LINN ENERGY LLC UNIT LTD LIAB 25 1 0.00%
48 LIME ENERGY CO COM 357 1 0.00%
49 LAWSON PRODS INC COM 85 1 0.00%
50 KENNAMETAL INC 20 1 0.00%
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