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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 CO LTD 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 Nortell Networks xxxx 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 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
301 PROSPECT CAPITAL CORPORATION 6,888 74 0.03%
302 ProShares Large Cap Core Plus 816 73 0.03%
303 DISH NETWORK CORP 1,180 73 0.03%
304 PROSHARES TR 2,403 73 0.03%
305 HALLIBURTON CO 1,237 73 0.03%
306 STARBUCKS CORP 1,000 73 0.03%
307 UNITED TECH CORP 613 72 0.03%
308 AMETEK INC NEW 1,350 70 0.03%
309 POWERSHARES ETF TRUST 2,999 69 0.03%
310 BANK OF NEW YORK MELLON CORP/T 1,950 69 0.03%
311 DBX ETF TR 2,494 68 0.03%
312 SPDR SERIES TRUST 720 67 0.03%
313 WASTE MANAGEMENT INC 1,600 67 0.03%
314 DEERE & CO 730 66 0.03%
315 Crestwood Midstream Partners LP 2,939 66 0.03%
316 VANGUARD WORLD FD 1,015 65 0.03%
317 CITIGROUP INC 1,366 65 0.03%
318 EXTREME NETWORKS INC 10,990 64 0.03%
319 Arcelor Mittal NY New 3,945 64 0.03%
320 FIRST TR EXCHANGE TRADED FD 2,890 64 0.03%
321 CHENIERE ENERGY INC 1,165 64 0.03%
322 W P CAREY INC 1,053 63 0.03%
323 NOVO-NORDISK A S 1,310 60 0.03%
324 FACEBOOK INC 980 59 0.02%
325 SELECT SECTOR SPDR TR 918 59 0.02%
326 MGE ENERGY INC 1,482 58 0.02%
327 ISHARES TR 573 58 0.02%
328 SPDR DOW JONES INTERNATIONAL REAL ESTATE ETF 1,383 57 0.02%
329 ISHARES TR 661 57 0.02%
330 DVYA 1,025 56 0.02%
331 CURIS INC 20,000 56 0.02%
332 ISHARES TR 546 56 0.02%
333 WATERS CORP 500 54 0.02%
334 JOHNSON CONTROLS INC 1,137 54 0.02%
335 VISA INC 250 54 0.02%
336 TRANSOCEAN LTD 1,275 53 0.02%
337 NORTH EUROPEAN OIL RTY TR 2,300 53 0.02%
338 WESTAR ENERGY INC 1,504 53 0.02%
339 NVIDIA CORP 2,932 53 0.02%
340 Wuxi Pharmatech Inc ADR 1,400 52 0.02%
341 HUNTSMAN CORP 2,119 52 0.02%
342 HERSHEY CO 500 52 0.02%
343 CORELOGIC INC 1,673 50 0.02%
344 ISHARES TR 1,075 49 0.02%
345 ISHARES TR 1,371 49 0.02%
346 BLACKROCK CORE BD TR 3,625 49 0.02%
347 Cognizant Technology Solutio 972 49 0.02%
348 SPDR Nuveen Barclays Cap. Shor 2,020 49 0.02%
349 UNILEVER PLC NEW ADR 1,150 49 0.02%
350 ISHARES 2,437 48 0.02%
Page 7 of 19