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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 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 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
401 HAIN CELESTIAL GROUP INC 400 37 0.02%
402 PROSHARES TR 350 37 0.02%
403 ACE LTD 364 36 0.02%
404 EMPIRE DIST ELEC CO 1,500 36 0.02%
405 DELTA AIRLINES INC DEL 1,049 36 0.02%
406 ISHARES 889 36 0.02%
407 SCHWAB INTERNATIONAL EQUITY ETF 1,143 36 0.02%
408 PITNEY BOWES INC 1,400 36 0.02%
409 COVANCE INC 350 36 0.02%
410 SSGA ACTIVE ETF TR BLKSTN GSOSRLN ETF 700 35 0.01%
411 Columbia Emerging Mkts Consume 1,302 35 0.01%
412 ISHARES 780 35 0.01%
413 BOEING CO 275 35 0.01%
414 EVEREST RE GROUP LTD 223 34 0.01%
415 ISHARES TR 494 34 0.01%
416 VANGUARD INTL EQUITY INDEX F 320 34 0.01%
417 51JOB INC 479 34 0.01%
418 ISHARES TR 344 34 0.01%
419 PERRIGO CO PLC 218 34 0.01%
420 TWITTER INC 720 34 0.01%
421 BAIDU INC 224 34 0.01%
422 LOCKHEED MARTIN CORP 201 33 0.01%
423 LOWES COS INC 681 33 0.01%
424 OTTER TAIL CORP 1,066 33 0.01%
425 PROSHARES ULTRA MIDCAP 400 500 33 0.01%
426 BANCO SANTANDER SA 3,474 33 0.01%
427 ALLIANCEBERNSTEIN GLOBAL HIG 2,205 33 0.01%
428 WABTEC CORP 413 32 0.01%
429 ACCENTURE PLC IRELAND 406 32 0.01%
430 GENERAL MTRS CO 928 32 0.01%
431 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 4,325 32 0.01%
432 GRAMERCY PPTY TR 4,123 32 0.01%
433 TESLA INC 151 31 0.01%
434 AETNA INC NEW 415 31 0.01%
435 Vanguard Natural Res LLC 1,000 30 0.01%
436 ALEXION PHARMACEUTICALS INC 200 30 0.01%
437 LIBERTY ALL STAR EQUITY FUND SH BEN INT 5,032 30 0.01%
438 VALMONT INDS INC 200 30 0.01%
439 GILEAD SCIENCES INC 420 30 0.01%
440 FIRST TR SML CP CORE ALPHA F 600 29 0.01%
441 RANDGOLD RES LTD 380 29 0.01%
442 ISHARES TR 266 28 0.01%
443 RAYTHEON CO 285 28 0.01%
444 DST SYS INC DEL 300 28 0.01%
445 SEAGATE TECHNOLOGY PLC 500 28 0.01%
446 ISHARES TR 300 28 0.01%
447 Rackspace Hosting 868 28 0.01%
448 POWERSHARES ETF TRUST 760 28 0.01%
449 FIRST SOLAR INC 400 28 0.01%
450 CANADIAN NATL RY CO 480 27 0.01%
Page 9 of 19