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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 JDS UNIPHASE CORP COM PAR $0.001 256 4 0.00%
2 REVOLUTION LIGHTING TECHNOLO COM 500 2 0.00%
3 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 4,325 32 0.01%
4 FRONTLINE LTD ORD 760 3 0.00%
5 LIFE STORAGE INC 20 0 0.00%
6 OI S.A. SPN ADR 312 0 0.00%
7 PEABODY ENERGY CORP 1,181 19 0.01%
8 Williams Partners Lp 400 20 0.01%
9 3-D SYS CORP DEL 2,960 175 0.07%
10 3M CO 2,710 368 0.15%
11 51JOB INC SP ADR REP COM 479 34 0.01%
12 ABBVIE INC 36,868 1,895 0.80%
13 ACCENTURE PLC IRELAND 406 32 0.01%
14 ACE LTD 364 36 0.02%
15 ACUITY BRANDS INC 130 17 0.01%
16 ACUSPHERE INC COM NEW 55 0 0.00%
17 ADOBE INC 100 7 0.00%
18 ADVANCE AUTO PARTS INC 19,377 2,451 1.03%
19 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
20 ADVENT CLAYMORE ENH GRW & IN 325 3 0.00%
21 ADVISORSHARES TR 62 3 0.00%
22 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
23 AEGON N V 221 2 0.00%
24 AETNA INC NEW 415 31 0.01%
25 AFLAC Inc 7,561 477 0.20%
26 AGL Resources 100 5 0.00%
27 AGRIUM INC 150 15 0.01%
28 AK STL HLDG CORP 3,245 23 0.01%
29 AKAMAI TECHNOLOGIES INC 400 23 0.01%
30 AKZO NOBEL NV-ADR 75 2 0.00%
31 ALLIANCE RES PARTNER L P 28,148 2,368 0.99%
32 ALLIANCEBERNSTEIN GLOBAL HIG 2,205 33 0.01%
33 ALLIANCEBERNSTEIN HLDG L P 600 15 0.01%
34 ALPS ETF TR 95,086 1,679 0.70%
35 ALPS ETF TR 300 9 0.00%
36 ALTRIA GROUP INC 43,314 1,621 0.68%
37 AMBEV SA 11,915 88 0.04%
38 AMEREN CORP 2,550 105 0.04%
39 AMERICAN ELECTRIC POWER 4,304 218 0.09%
40 AMERICAN HOME MORTGAGE 22 0 0.00%
41 AMERICAN LD LEASE INC PFDSER A 250 6 0.00%
42 AMERICAN RLTY CAP PPTYS INC 61,322 860 0.36%
43 AMERICAN RLTY CAP PPTYS INC PF 9,752 222 0.09%
44 AMERICARE HEALTH SCAN INC COM 18 0 0.00%
45 AMETEK INC 1,350 70 0.03%
46 AMGEN INC 308 38 0.02%
47 ANADARKO PETROLE 205 17 0.01%
48 ANHEUSER BUSCH INBEV SA/NV 200 21 0.01%
49 ANIKA THERAPEUTICS INC 325 13 0.01%
50 ANNALY CAP MGMT INC 18,388 202 0.08%
Page 1 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
101 ICAHN ENTERPRISES LP 5,921 608 0.26%
102 SPDR GOLD TR 4,875 603 0.26%
103 ISHARES TR 12,514 601 0.25%
104 STEEL DYNAMICS INC 33,394 594 0.25%
105 CINCINNATI FINL CORP 12,200 594 0.25%
106 VANGUARD INDEX FDS 6,062 591 0.25%
107 ISHARES TR 4,289 590 0.25%
108 FIRST TR MORNINGSTAR DIV LEA 26,121 588 0.25%
109 Kinder Morgan Inc. 7,536 557 0.24%
110 CATERPILLAR INC 5,581 555 0.23%
111 SPDR S&P MIDCAP 400 ETF TR 2,202 552 0.23%
112 REALTY INCOME CORP 13,413 548 0.23%
113 ISHARES TR 5,652 545 0.23%
114 ISHARES TR 8,676 530 0.22%
115 ISHARES TR 4,366 527 0.22%
116 EMERSON ELEC CO 7,800 521 0.22%
117 BANK AMER CORP 30,066 517 0.22%
118 FIRST TR EXCHANGE TRADED FD 19,652 494 0.21%
119 AFLAC INC 7,561 477 0.20%
120 FIRST TR EXCHANGE-TRADED FD 6,170 473 0.20%
121 POWERSHARES GLOBAL ETF FD 22,386 472 0.20%
122 AUTOMATIC DATA PROCESSING IN 6,100 471 0.20%
123 ISHARES TR 4,643 464 0.20%
124 PEPSICO INC 5,556 464 0.20%
125 VANGUARD SCOTTSDALE FDS 5,790 463 0.20%
126 PROSHARES TR II 7,309 453 0.19%
127 SPDR SER TR 6,110 450 0.19%
128 ISHARES TR 4,384 443 0.19%
129 LA Z BOY INC COM 16,090 436 0.18%
130 ISHARES 5-10 YEAR INVESTMENT GRADE CORPORATE BOND ETF 3,996 436 0.18%
131 FIRST TR EXCH TRD ALPHDX FD 8,206 429 0.18%
132 HCP INC 10,858 421 0.18%
133 POWERSHARES ETF TRUST II 16,932 420 0.18%
134 DANAHER CORP DEL 5,453 409 0.17%
135 SOUTHERN CO 9,160 402 0.17%
136 MAIN STREET CAPITAL CORP 12,199 401 0.17%
137 FIRST TRUST EXCH TRADED FUND 2 FINLS ALPHADEX ETF 17,960 392 0.17%
138 POWERSHARES ETF TRUST 31,706 385 0.16%
139 WISDOMTREE TR 7,830 384 0.16%
140 FIRST TR LRGE CP CORE ALPHA 9,095 383 0.16%
141 HEALTHCARE TRUST AMERICA INC CL A NEW 32,871 374 0.16%
142 FIRST TRUST EXCH TRADED FUND 2 CONSUMR STAPLE ETF 10,113 373 0.16%
143 3M CO 2,710 368 0.16%
144 HELMERICH & PAYNE INC 3,402 366 0.15%
145 VANGUARD SCOTTSDALE FDS 4,307 366 0.15%
146 ISHARES TR 4,160 362 0.15%
147 ISHARES TR 8,531 350 0.15%
148 Proshares Short S&P 500 14,056 347 0.15%
149 QUALCOMM INC 4,400 347 0.15%
150 FIRST TRUST EXCH TRADED FUND 2 MATERIALS ALPH ETF 10,106 337 0.14%
Page 3 of 19