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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
1 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 4,325 32 0.01%
2 FRONTLINE LTD ORD 760 3 0.00%
3 LIFE STORAGE INC 20 0 0.00%
4 OI S.A. SPN ADR 312 0 0.00%
5 Williams Partners Lp 400 20 0.01%
6 3-D SYS CORP DEL 2,960 175 0.07%
7 3M CO 2,710 368 0.15%
8 51JOB INC 479 34 0.01%
9 ABBVIE INC 36,868 1,895 0.80%
10 ACCENTURE PLC IRELAND 406 32 0.01%
11 ACE LTD 364 36 0.02%
12 ACUITY BRANDS INC 130 17 0.01%
13 ACUSPHERE INC COM NEW 55 0 0.00%
14 ADOBE INC 100 7 0.00%
15 ADVANCE AUTO PARTS INC 19,377 2,451 1.03%
16 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
17 ADVENT CLAYMORE ENH GRW & IN 325 3 0.00%
18 ADVISORSHARES TR 62 3 0.00%
19 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
20 AEGON N V 221 2 0.00%
21 AETNA INC NEW 415 31 0.01%
22 AFLAC Inc 7,561 477 0.20%
23 AGL Resources 100 5 0.00%
24 AGRIUM INC 150 15 0.01%
25 AK STL HLDG CORP 3,245 23 0.01%
26 AKAMAI TECHNOLOGIES INC 400 23 0.01%
27 AKZO NOBEL NV-ADR 75 2 0.00%
28 ALLIANCE RES PARTNER L P 28,148 2,368 0.99%
29 ALLIANCEBERNSTEIN GLOBAL HIG 2,205 33 0.01%
30 ALLIANCEBERNSTEIN HLDG L P 600 15 0.01%
31 ALPS ETF TR 95,086 1,679 0.70%
32 ALPS ETF TR 300 9 0.00%
33 ALTRIA GROUP INC 43,314 1,621 0.68%
34 AMBEV SA 11,915 88 0.04%
35 AMEREN CORP 2,550 105 0.04%
36 AMERICAN ELECTRIC POWER 4,304 218 0.09%
37 AMERICAN HOME MORTGAGE 22 0 0.00%
38 AMERICAN LD LEASE INC PFDSER A 250 6 0.00%
39 AMERICAN RLTY CAP PPTYS INC 61,322 860 0.36%
40 AMERICAN RLTY CAP PPTYS INC PF 9,752 222 0.09%
41 AMERICARE HEALTH SCAN INC COM 18 0 0.00%
42 AMETEK INC 1,350 70 0.03%
43 AMGEN INC 308 38 0.02%
44 ANADARKO PETROLE 205 17 0.01%
45 ANHEUSER BUSCH INBEV SA/NV 200 21 0.01%
46 ANIKA THERAPEUTICS INC 325 13 0.01%
47 ANNALY CAP MGMT INC 18,388 202 0.08%
48 ANPATH GROUP INC COM PAR $0.00 143 0 0.00%
49 ANSYS 500 39 0.02%
50 AON PLC 435 37 0.02%
Page 1 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
551 SMUCKER J M CO 175 17 0.01%
552 ONEOK INC NEW 280 17 0.01%
553 ANADARKO PETR 205 17 0.01%
554 LILLY ELI & CO 293 17 0.01%
555 UNION PAC CORP 85 16 0.01%
556 WISDOMTREE U S 236 16 0.01%
557 PROSHARES TR II 888 16 0.01%
558 GERDAU S A 2,574 16 0.01%
559 PROSHARES TR 350 16 0.01%
560 SPDR SER TR 375 16 0.01%
561 SCHLUMBERGER LTD 164 16 0.01%
562 FIRSTENERGY CORP 457 16 0.01%
563 WESTERN UN CO 1,000 16 0.01%
564 VERIFONE SYS INC 460 16 0.01%
565 SPIRIT AIRLS INC 273 16 0.01%
566 Ishares - Japan 1,350 15 0.01%
567 CMS ENERGY CORP 500 15 0.01%
568 ALLIANCEBERNSTEIN HLDG L P 600 15 0.01%
569 WYNN RESORTS LTD 68 15 0.01%
570 CALIFORNIA WTR SVC GROUP 610 15 0.01%
571 CIENA CORP 650 15 0.01%
572 MEDIFAST INC COM 500 15 0.01%
573 ISHARES TR 261 15 0.01%
574 Chubb Corporation 163 15 0.01%
575 ASSOCIATED ESTATES 900 15 0.01%
576 DUNKIN BRANDS GROUP INC COM 301 15 0.01%
577 MENS WEARHOUSE INC 305 15 0.01%
578 AGRIUM INC 150 15 0.01%
579 MACQUARIE INFRASTRUCTURE COR 266 15 0.01%
580 TIME WARNER CABLE INC 111 15 0.01%
581 CAESARSTONE LTD 284 15 0.01%
582 NEXTERA ENERGY INC 150 14 0.01%
583 JAZZ PHARMACEUTICALS PLC 100 14 0.01%
584 TJX COS INC NEW 231 14 0.01%
585 BP PRUDHOE BAY RTY TR 160 14 0.01%
586 HERCULES CAPITAL INC 1,000 14 0.01%
587 WESTERN ASSET HIGH INCM FD I 1,500 14 0.01%
588 RPC INC 691 14 0.01%
589 POWERSHS DB MULTI SECT COMM 470 13 0.01%
590 POWERSHARES ETF TRUST 650 13 0.01%
591 DENBURY RES INC COM NEW 775 13 0.01%
592 POWERSHARES N/C 6/4/18 46138E636 435 13 0.01%
593 SODASTREAM INTERNATIONAL LTD 300 13 0.01%
594 Ferrellgas Partners LP 560 13 0.01%
595 Alcoa 1,007 13 0.01%
596 POWERSHARES ETF TR II 909 13 0.01%
597 TECO ENERGY INC 743 13 0.01%
598 INVESCO MORTGAGE CAPITAL INC 800 13 0.01%
599 ANIKA THERAPEUTICS INC COM 325 13 0.01%
600 KBR INC 479 13 0.01%
Page 12 of 19