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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
301 PROSPECT CAPITAL CORPORATION 6,888 74 0.03%
302 PROSHARES TR 816 73 0.03%
303 DISH NETWORK A 1,180 73 0.03%
304 PROSHARES TR 2,403 73 0.03%
305 HALLIBURTON CO 1,237 73 0.03%
306 STARBUCKS CORP 1,000 73 0.03%
307 UNITED TECHNOLOGIES CORP 613 72 0.03%
308 AMETEK INC NEW 1,350 70 0.03%
309 POWERSHARES ETF TRUST 2,999 69 0.03%
310 BANK NEW YORK MELLON CORP 1,950 69 0.03%
311 DBX ETF TR 2,494 68 0.03%
312 SPDR SERIES TRUST 720 67 0.03%
313 WASTE MGMT INC DEL 1,600 67 0.03%
314 DEERE & CO 730 66 0.03%
315 Crestwood Midstream Partners LP 2,939 66 0.03%
316 VANGUARD WORLD FD 1,015 65 0.03%
317 CITIGROUP INC 1,366 65 0.03%
318 EXTREME NETWORKS COM 10,990 64 0.03%
319 ARCELORMITTAL SA LUXEMBOURG 3,945 64 0.03%
320 FIRST TRUST EXCH TRADED FUND 2 UTILITIES ALPH ETF 2,890 64 0.03%
321 CHENIERE ENERGY INC 1,165 64 0.03%
322 W P CAREY INC 1,053 63 0.03%
323 NOVO-NORDISK A S 1,310 60 0.03%
324 FACEBOOK INC 980 59 0.02%
325 SELECT SECTOR SPDR TR 918 59 0.02%
326 MGE ENERGY INC 1,482 58 0.02%
327 ISHARES TR 573 58 0.02%
328 SPDR INDEX SHS FDS 1,383 57 0.02%
329 ISHARES TR 661 57 0.02%
330 ISHARES 1,025 56 0.02%
331 Curis, Inc 20,000 56 0.02%
332 ISHARES 7-10 YEAR TREASURY BOND ETF 546 56 0.02%
333 WATERS CORP 500 54 0.02%
334 JOHNSON CTLS INTL PLC 1,137 54 0.02%
335 VISA INC 250 54 0.02%
336 TRANSOCEAN LTD 1,275 53 0.02%
337 NORTH EUROPEAN OIL RTY TR SH BEN INT 2,300 53 0.02%
338 WESTAR ENERGY 1,504 53 0.02%
339 NVIDIA CORPORATION 2,932 53 0.02%
340 Wuxi Pharmatech Inc ADR 1,400 52 0.02%
341 HUNTSMAN CORP 2,119 52 0.02%
342 HERSHEY CO 500 52 0.02%
343 CORELOGIC INC 1,673 50 0.02%
344 ISHARES TR 1,075 49 0.02%
345 ISHARES TR 1,371 49 0.02%
346 BLACKROCK CORE BD TR 3,625 49 0.02%
347 COGNIZANT TECHNOLOGY SOLUTIO 972 49 0.02%
348 SPDR NUVEEN BARLCAYS SOHRT TER 2,020 49 0.02%
349 UNILEVER PLC 1,150 49 0.02%
350 ISHARES 2,437 48 0.02%
Page 7 of 19