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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
151 FISERV INC 5,850 332 0.14%
152 HUNTINGTON BANCSHARES INC 33,270 332 0.14%
153 SYSCO CORP 8,900 322 0.14%
154 VANGUARD SCOTTSDALE FDS 5,053 308 0.13%
155 AIR PRODS & CHEMS INC 2,498 297 0.13%
156 SPECTRA ENERGY PARTNERS LP 5,952 291 0.12%
157 VANGUARD WORLD FDS 2,619 290 0.12%
158 ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF 3,062 289 0.12%
159 INTEL CORP 11,120 287 0.12%
160 PIEDMONT OFFICE REALTY TR INC COM CL A 16,036 275 0.12%
161 PFIZER INC 8,484 273 0.12%
162 BAKER HUGHES INC 4,103 267 0.11%
163 ISHARES TR 2,168 261 0.11%
164 STRATASYS LTD 2,400 255 0.11%
165 STERICYCLE INC 2,200 250 0.11%
166 FIRST TRUST EXCH TRADED FUND 2 ENERGY ALPHADX ETF 9,500 249 0.11%
167 EBAY INC 4,486 248 0.10%
168 Walgreens 3,679 243 0.10%
169 FEDEX CORP 1,799 238 0.10%
170 ISHARES TR 966 228 0.10%
171 VANGUARD INDEX FDS 2,638 224 0.09%
172 CHEVRON CORP NEW 1,872 223 0.09%
173 ISHARES TR 2,632 222 0.09%
174 ILLINOIS TOOL WKS INC 2,722 221 0.09%
175 AMERICAN ELEC PWR INC 4,304 218 0.09%
176 VANGUARD SCOTTSDALE FDS 3,326 211 0.09%
177 UNITED STATES STL CORP NEW 7,547 208 0.09%
178 ENTERPRISE PRODS PARTNERS L 2,966 206 0.09%
179 HELIX ENERGY SOLUTIONS GRP INC COM 8,970 206 0.09%
180 ANNALY CAP MGMT INC 18,388 202 0.09%
181 WAL-MART STORES INC 2,625 201 0.09%
182 CINTAS CORP 3,300 197 0.08%
183 POTASH CORP SASK INC 5,400 196 0.08%
184 WELLS FARGO & CO NEW 3,898 194 0.08%
185 TARGET CORP 3,179 192 0.08%
186 TOTAL S A 2,900 190 0.08%
187 ISHARES TR 1,669 189 0.08%
188 FIFTH THIRD BANCORP 8,151 187 0.08%
189 CISCO SYS INC 8,332 187 0.08%
190 ABBOTT LABS 4,859 187 0.08%
191 ISHARES TR 1,743 185 0.08%
192 HESS CORP 2,217 184 0.08%
193 ROYAL DUTCH SHELL PLC 2,330 182 0.08%
194 BAXTER INTL INC 2,414 178 0.08%
195 HSBC HLDGS PLC 6,900 176 0.07%
196 ISHARES TR 2,054 176 0.07%
197 ISHARES TR 3,431 175 0.07%
198 3-D SYS CORP DEL 2,960 175 0.07%
199 RETAIL PPTYS AMER INC CL A 12,870 174 0.07%
200 INTERNATIONAL BUSINESS MACHS 900 173 0.07%
Page 4 of 19