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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
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