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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 COMPANY LIMITED SPON ADR REP5ORD 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 INC COM NO STOCKHOLDER EQUITY 01/24/2011 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
51 SYNAPTICS INC 28,921 1,736 0.73%
52 METHODE ELECTRS INC COM 56,398 1,729 0.73%
53 JOHNSON & JOHNSON 17,432 1,712 0.72%
54 ALPS ETF TR 95,086 1,679 0.71%
55 DOW CHEM CO 33,635 1,634 0.69%
56 ALTRIA GROUP INC 43,314 1,621 0.69%
57 POWERSHARES DB CMDTY IDX TRA 60,791 1,588 0.67%
58 ISHARES TR 39,830 1,539 0.65%
59 ISHARES TR 14,190 1,531 0.65%
60 ISHARES TR 12,432 1,530 0.65%
61 VANGUARD INDEX FDS 13,322 1,513 0.64%
62 ISHARES TR 29,649 1,504 0.64%
63 ENTERGY CORP NEW 22,005 1,471 0.62%
64 CONSOLIDATED EDISON INC 27,237 1,461 0.62%
65 ISHARES TR 15,633 1,424 0.60%
66 FIRST TR EXCHANGE TRADED FD 23,670 1,397 0.59%
67 MCDONALDS CORP 13,956 1,368 0.58%
68 VANGUARD INDEX FDS 12,011 1,357 0.57%
69 POWERSHARES ETF TRUST 68,564 1,220 0.52%
70 ISHARES TR 10,684 1,177 0.50%
71 GS FIN CORP 64,412 1,171 0.50%
72 CLAYMORE EXCHANGE TRD FD TR 46,274 1,163 0.49%
73 ISHARES TR 15,026 1,102 0.47%
74 Magnum Hunter Resources Corp 126,696 1,077 0.46%
75 DUKE ENERGY CORP NEW 14,793 1,054 0.45%
76 SELECT SECTOR SPDR TR 16,945 991 0.42%
77 KIMBERLY CLARK CORP 8,744 964 0.41%
78 VERIZON COMMUNICATIONS INC 20,212 961 0.41%
79 SELECT SECTOR SPDR TR 26,405 960 0.41%
80 FORD MTR CO DEL 60,926 950 0.40%
81 NUSTAR ENERGY LP 17,095 939 0.40%
82 FIRST TR EXCHANGE TRADED FD 18,123 923 0.39%
83 FIRST TR EXCHANGE TRADED FD 32,184 896 0.38%
84 PNC FINL SVCS GROUP INC 9,927 864 0.37%
85 AMERICAN RLTY CAP PPTYS INC 61,322 860 0.36%
86 MICROSOFT CORP 20,639 846 0.36%
87 VANGUARD MORTG-BACK SEC ETF 15,632 808 0.34%
88 BERKSHIRE HATHAWAY INC DEL 6,338 792 0.34%
89 PHILLIPS 66 10,073 776 0.33%
90 PROCTER AND GAMBLE CO 9,325 752 0.32%
91 CLOROX CO DEL 8,227 724 0.31%
92 FIRST TR EXCHANGE TRADED FD 22,168 691 0.29%
93 POWERSHARES ETF TR II 24,507 686 0.29%
94 NUCOR CORP 13,506 683 0.29%
95 EXXON MOBIL CORP 6,969 681 0.29%
96 ISHARES MSCI EAFE SMALL CAP IDX FD 12,429 649 0.27%
97 ISHARES TR 8,753 625 0.26%
98 UNITED PARCEL SERVICE INC 6,374 621 0.26%
99 COCA COLA CO 15,950 617 0.26%
100 FIRST TR EXCHANGE TRADED FD 25,048 608 0.26%
Page 2 of 19