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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 Corinthian Colleges, Inc. 260 0 0.00%
2 COUNTY LINE ENERGY CORP 25,000 0 0.00%
3 SATCON TECHNOLOGY CORP COM NEW 63 0 0.00%
4 SAROSSA CAP PLC SHS 10,000 0 0.00%
5 Uniontown Energy Xxx 1,000 0 0.00%
6 ITRONICS INC COM NEW 2 0 0.00%
7 ATHEROGENICS INC COM 9,000 0 0.00%
8 NANOMETRICS INC 20 0 0.00%
9 JA SOLAR HOLDINGS CO LTD 40 0 0.00%
10 Tsingyuan Brewery Ltd. 4 0 0.00%
11 AVEC CORPORATION XXX 20 0 0.00%
12 NATIONAL STL CORP 160,000 0 0.00%
13 GAIAM INC 51 0 0.00%
14 FUTURE HEALTHCARE OF AMER COM 1,276 0 0.00%
15 ACUSPHERE INC COM NEW 55 0 0.00%
16 FOREST OIL CORP 200 0 0.00%
17 NICO TELCOM INC XXX 50 0 0.00%
18 NORTEL NETWORKS 127 0 0.00%
19 NU SKIN ENTERPRISES INC 6 0 0.00%
20 TIM PARTICIPACOES S A 5 0 0.00%
21 BIG BEAR MINING CORP NEW 4,000 0 0.00%
22 OI S.A. SPN ADR 312 0 0.00%
23 KODIAK OIL & GAS CORP 25 0 0.00%
24 OI S A SPONSORED ADR 80 0 0.00%
25 SURECARE INC COM 1,000 0 0.00%
26 KONINKLIJKE AHOLD NV-SP ADR 126 0 0.00%
27 FANNIE MAE 80 0 0.00%
28 FairPoint Communications 58 0 0.00%
29 PENINSULA HLDGS GRP CXXX 10,000 0 0.00%
30 CALL (ABBV) ABBVIE INC COM FEB 1 0 0.00% Call
31 CALL (ABBV) ABBVIE INC COM MAY 0 0 0.00% Call
32 CALL (ABT) ABBOTT LABORATORIES 0 0 0.00% Call
33 CALL (ADP) AUTOMATIC DATA FEB 0 0 0.00% Call
34 CALL (AEP) AMERICAN ELEC PWR C 0 0 0.00% Call
35 CALL (AEP) AMERICAN ELEC PWR C 0 0 0.00% Call
36 CALL (AFL) AFLAC INC FEB 22 14 0 0 0.00% Call
37 CALL (AMJ) JPMORGAN CHASE & CO 0 0 0.00% Call
38 CALL (APL) ATLAS PIPELINE MAY 0 0 0.00% Call
39 CALL (BAC) BANK OF AMERICA MAR 8 0 0.00% Call
40 CALL (C) CITIGROUP INC JAN 17 1 0 0.00% Call
41 CALL (CINF) CINCINNATI FINL JU 0 0 0.00% Call
42 CALL (CINF) CINCINNATI FINL MA 0 0 0.00% Call
43 CALL (CLX) CLOROX CO DEL APR 1 3 0 0.00% Call
44 CALL (COP) CONOCOPHILLIPS FEB 0 0 0.00% Call
45 CALL (COP) CONOCOPHILLIPS MAR 0 0 0.00% Call
46 CALL (DEM) WISDOMTREE EMERG FE 0 0 0.00% Call
47 CALL (DOW) DOW CHEMICAL CO MAR 0 0 0.00% Call
48 CALL (DOW) DOW CHEMICAL CO MAR 1 0 0.00% Call
49 CALL (DOW) DOW CHEMICAL CO MAR 0 0 0.00% Call
50 CALL (DUK) DUKE ENERGY CORP CO 3 0 0.00% Call
Page 1 of 22
Restatement filing (0001606587-15-000070) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
851 HILLSHIRE BRANDS COMPANY 36 1 0.00%
852 LAWSON PRODS INC COM 85 1 0.00%
853 SUNTRUST BKS INC 29 1 0.00%
854 LIME ENERGY CO COM 357 1 0.00%
855 Adt Corp 20 1 0.00%
856 LINN ENERGY LLC UNIT LTD LIAB 25 1 0.00%
857 STMICROELECTRONICS N V 130 1 0.00%
858 LOGITECH INTL S A 100 1 0.00%
859 FIRST MAJESTIC SILVER CORP 110 1 0.00%
860 FASTENAL CO 30 1 0.00%
861 ETFS Physical Platinum Shares 10 1 0.00%
862 ENDOCYTE INC COM 60 1 0.00%
863 LUBY'S INC 130 1 0.00%
864 YAHOO INC 15 1 0.00%
865 CST BRANDS INC 45 1 0.00%
866 CROCS INC 62 1 0.00%
867 MACATAWA BK CORP 200 1 0.00%
868 Cimpress NV 30 1 0.00%
869 TELEFONICA BRASIL SA 26 1 0.00%
870 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 429 1 0.00%
871 CARLYLE GROUP L P 35 1 0.00%
872 CAPELLA EDUCATION 12 1 0.00%
873 Nam Tai Property Inc 190 1 0.00%
874 ZIMMER BIOMET HLDGS INC 12 1 0.00%
875 C&J ENERGY SVCS INC 33 1 0.00%
876 BROOKFIELD PPTY PARTNERS L P 57 1 0.00%
877 POWERSHARES ETF TRUST II 75 1 0.00%
878 IAMGOLD CORP 180 1 0.00%
879 ISHARES 35 1 0.00%
880 ISHARES TR 10 1 0.00%
881 KENNAMETAL INC 20 1 0.00%
882 Intl Game Technology 100 1 0.00%
883 UNISYS CORP 32 1 0.00%
884 INGERSOLL-RAND PLC 20 1 0.00%
885 MALLINCKRODT PUB LTD CO 5 0 0.00%
886 RARE ELEMENT RES LTD 100 0 0.00%
887 NU SKIN ENTERPRISES INC 6 0 0.00%
888 KRISPY KREME DOUGHNT 25 0 0.00%
889 SONY GROUP CORP 10 0 0.00%
890 Corinthian Colleges, Inc. 260 0 0.00%
891 LULULEMON ATHLETICA INC 490 0 0.00%
892 OI S.A. SPN ADR 312 0 0.00%
893 OI S A SPONSORED ADR 80 0 0.00%
894 DIREXION SHS ETF TR 5 0 0.00%
895 KODIAK OIL & GAS CORP 25 0 0.00%
896 Neo Performance Materials 100 0 0.00%
897 Chimera Investment Corp REIT 65 0 0.00%
898 GAIAM INC 51 0 0.00%
899 ELECTRONIC ARTS INC 2 0 0.00%
900 MARTHA STEWART LIVING OMNIME 108 0 0.00%
Page 18 of 19