Dark
Light
System
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
251 KINDER MORGAN INC DEL 3,400 110 0.05%
252 MAGELLAN MIDSTREAM PRTNRS LP 1,560 109 0.05%
253 MGM RESORTS INTERNATIONAL 4,200 109 0.05%
254 ROYAL DUTCH SHELL PLC 1,476 108 0.05%
255 ARCHER DANIELS MIDLAND CO 2,500 108 0.05%
256 AMER STATES WTR CO 3,325 107 0.05%
257 WESTPORT FUEL SYSTEMS INC 7,350 106 0.04%
258 AMEREN CORP 2,550 105 0.04%
259 ISHARES TR 863 103 0.04%
260 NATIONAL FUEL GAS CO N J 1,477 103 0.04%
261 ISHARES TR 1,263 103 0.04%
262 CONAGRA BRANDS INC 3,300 102 0.04%
263 JPMORGAN CHASE & CO 1,660 101 0.04%
264 ALLIANT ENERGY CORP 1,715 97 0.04%
265 PHILIP MORRIS INTL INC 1,189 97 0.04%
266 E M C CORP MASS COM 3,508 96 0.04%
267 SELECT SECTOR SPDR TR 2,188 94 0.04%
268 POWERSHARES ETF TRUST 1,657 94 0.04%
269 ISHARES RUSSELL 2000 GROWTH ETF 681 93 0.04%
270 ISHARES NASDAQ BIOTECHNOLOGY ETF 83 93 0.04%
271 ISHARES TR 1,113 93 0.04%
272 ISHARES TR 1,372 93 0.04%
273 WERNER ENTERPRISES INC 3,600 92 0.04%
274 SIRIUS XM HOLDINGS INC 28,300 91 0.04%
275 PIMCO ETF TR 841 90 0.04%
276 FREEPORT-MCMORAN INC 2,714 90 0.04%
277 BLACKROCK LIMITED DURATION INCORPORATED TR COM SHS 5,186 89 0.04%
278 COMCAST CORP NEW 1,788 89 0.04%
279 AMBEV SA 11,915 88 0.04%
280 PATTERSON COS INC 2,095 87 0.04%
281 BRISTOL MYERS SQUIBB CO 1,637 85 0.04%
282 COACH INC 1,689 84 0.04%
283 FMC TECHNOLOGIES INC 1,600 84 0.04%
284 HUNT J B TRANS SVCS INC 1,148 83 0.04%
285 DTE ENERGY CO 1,116 83 0.04%
286 VANGUARD WORLD FD 913 83 0.04%
287 Crestwood Equity Partners LP 6,000 83 0.04%
288 STANLEY BLACK &DECKER INC 1,000 81 0.03%
289 WILLIAMS COS INC DEL 2,000 81 0.03%
290 SPDR INDEX SHS FDSDJ GLB RL ES ETF 1,841 80 0.03%
291 RESMED INC 1,800 80 0.03%
292 POWERSHARES ETF TRUST 3,832 79 0.03%
293 EOG RES INC 781 77 0.03%
294 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,521 76 0.03%
295 VECTOR GROUP LTD 3,543 76 0.03%
296 SELECT SECTOR SPDR TR 1,836 76 0.03%
297 PAYCHEX INC 1,767 75 0.03%
298 CHICOS FAS INC 4,703 75 0.03%
299 FIRST TR EXCHANGE TRADED FD 1,500 75 0.03%
300 ROCKWOOD HOLDINGS INC 1,000 74 0.03%
Page 6 of 19