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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
201 FIRST TR EXCHANGE TRADED FD 5,360 172 0.07%
202 VANGUARD WORLD FD 1,322 170 0.07%
203 VANGUARD INDEX FDS 1,817 170 0.07%
204 VANGUARD INTL EQUITY INDEX F 4,173 169 0.07%
205 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN 4,246 168 0.07%
206 ISHARES TR 2,355 167 0.07%
207 VANGUARD INDEX FDS 1,331 165 0.07%
208 ISHARES 5,230 164 0.07%
209 SPDR SERIES TRUST 2,765 164 0.07%
210 ISHARES TR 1,522 163 0.07%
211 ISHARES INC 4,700 161 0.07%
212 ISHARES TR 1,046 160 0.07%
213 FIRST TRUST EXCH TRADED FUND 2 INDLS PROD DUR ETF 5,440 160 0.07%
214 VODAFONE GROUP PLC NEW 4,330 159 0.07%
215 ISHARES TR 1,407 157 0.07%
216 VANGUARD SPECIALIZED FUNDS 2,066 155 0.07%
217 OMNICOM GROUP INC 2,134 155 0.07%
218 UNDER ARMOUR INC 1,338 153 0.06%
219 EXPRESS SCRIPTS HLDG CO 2,015 151 0.06%
220 BP PLC 3,065 147 0.06%
221 LEGGETT &PLATT INC 4,500 147 0.06%
222 BLDRS INDEX FDS TR 3,958 144 0.06%
223 ECOLAB INC 1,334 144 0.06%
224 MERCK & CO INC 2,516 143 0.06%
225 VANGUARD WHITEHALL FDS 2,195 139 0.06%
226 ISHARES INC 2,824 139 0.06%
227 ONEOK PARTNERS LP 2,572 138 0.06%
228 BUCKEYE PARTNERS L P 1,835 138 0.06%
229 NEWMONT CORP 5,811 136 0.06%
230 EXELON CORP 4,040 136 0.06%
231 ENERGY TRANSFER PRTNRS L P 2,508 135 0.06%
232 DU PONT E I DE NEMOURS & CO 2,014 135 0.06%
233 SPDR DOW JONES INDL AVRG ETF 818 134 0.06%
234 WISDOMTREE TR 2,433 133 0.06%
235 RPM INTL INC 3,145 132 0.06%
236 ISHARES TR 1,176 132 0.06%
237 EATON CORP PLC 1,761 132 0.06%
238 Medtronic Inc 2,017 124 0.05%
239 HOME DEPOT INC 1,555 123 0.05%
240 DISNEY WALT CO 1,537 123 0.05%
241 PIMCO ETF TR 1,181 120 0.05%
242 VANGUARD INDEX FDS 1,390 120 0.05%
243 POWERSHARES ETF TRUST 1,408 119 0.05%
244 ORACLE CORP 2,794 114 0.05%
245 MORGAN STANLEY 3,618 113 0.05%
246 ISHARES TR 1,010 112 0.05%
247 PLAINS ALL AMERN PIPELINE L 2,040 112 0.05%
248 NUVEEN MICH QUALITY MUN INCO 8,279 112 0.05%
249 SPIRIT RLTY CAP INC NEW 10,089 111 0.05%
250 ISHARES TR 2,649 110 0.05%
Page 5 of 19