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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 ($)
%
Options
Notes
351 NCR CORP NEW 163 6 0.00%
352 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
353 PENGROWTH ENERGY CORP 1,000 6 0.00%
354 PLC CAP TR V TOPRS 6.125 34 300 7 0.00%
355 NETGEAR INC 200 7 0.00%
356 CABELAS INC 100 7 0.00%
357 GENERAL MTRS CO 294 7 0.00%
358 MARATHON OIL CORP 202 7 0.00%
359 REYNOLDS AMERICAN INC 132 7 0.00%
360 SPDR SERIES TRUST 101 7 0.00%
361 KANSAS CITY SOUTHERN 70 7 0.00%
362 American Water Works, Inc. 146 7 0.00%
363 ADOBE INC 100 7 0.00%
364 INSYS THERAPEUTICS INC NEW COM NEW 180 7 0.00%
365 NATIONAL HEALTH INVS INC 119 7 0.00%
366 ISHARES TR 194 7 0.00%
367 Syntel Inc Com 75 7 0.00%
368 WISDOMTREE TR 100 7 0.00%
369 RBS CAP FDG TR VI PFD TR 6.25% GTD 300 7 0.00%
370 Acxiom Corp 200 7 0.00%
371 Van Eck 246 7 0.00%
372 POWERSHARES ETF TRUST 190 7 0.00%
373 INVESCO SR INCOME TR 1,372 7 0.00%
374 Altius Minerals Corp. 500 7 0.00%
375 DEUTSCHE BK AG LDN BRH 500 7 0.00%
376 ATLANTIC PWR CORP 2,335 7 0.00%
377 TEMPLETON EMERGING COM 477 7 0.00%
378 OPEN TEXT CORP 140 7 0.00%
379 GLADSTONE INVT CORP 800 7 0.00%
380 QUALITY SYS INC 400 7 0.00%
381 SLM CORP 295 7 0.00%
382 VIAD CORP 294 7 0.00%
383 NEOGEN CORP COM 165 7 0.00%
384 MONDELEZ INTL INC 214 7 0.00%
385 WISDOMTREE TR 100 7 0.00%
386 FORWARD AIR CORP COM 180 8 0.00%
387 POPEYES LA KITCHEN INC 200 8 0.00%
388 MICRON TECHNOLOGY INC 350 8 0.00%
389 WESTERN GAS PARTNERS LP 126 8 0.00%
390 NUVEEN PFD INCOME OPPORTUN 830 8 0.00%
391 MATTEL INC 200 8 0.00%
392 CAPITAL ONE FINL CORP 99 8 0.00%
393 BLUE EARTH INC COM 3,000 8 0.00%
394 BED BATH & BEYOND INC 120 8 0.00%
395 STAMPS COM INC COM NEW 237 8 0.00%
396 SPDR INDEX SHS FDS 114 8 0.00%
397 SOUTH JERSEY INDS INC COM 150 8 0.00%
398 THERMO FISHER SCIENTIFIC INC 70 8 0.00%
399 On Assignment Inc 200 8 0.00%
400 NUVEEN PREFERRED SECURITIES 950 8 0.00%
Page 8 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
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 RUSSELL 3000 ETF 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. 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 FREIGHT LINE IN 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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