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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 (2014Q2)
Original 13F HR (0001606587-14-000171) filed in 2014.08.04
#
Name
Shares
Value ($)
%
Options
Notes
601 MEDIFAST INC 500 15,205 0.01%
602 GERDAU S A SPON 2,574 15,161 0.01%
603 TORONTO-DOMINION BANK 293 15,063 0.01%
604 BITAUTO HLDGS LTD 307 14,951 0.01%
605 CHUBB CORP 162 14,932 0.01%
606 iShares Core 1-5 Year USD Bond ETF 144 14,479 0.01%
607 SINCLAIR BROADCAST GROUP INC 413 14,352 0.01%
608 ATLANTIC PWR CORP 3,290 14,344 0.01%
609 DENBURY RES INC 775 14,307 0.01%
610 Charles Schwab Corp 531 14,300 0.01%
611 WESTERN ASSET HIGH INCM FD I 1,500 14,145 0.01%
612 ANADARKO PETE CORP 127 13,903 0.00%
613 INVESCO MORTGAGE CAPITAL INC 800 13,888 0.00%
614 DUNKIN BRANDS GROUP INC 302 13,835 0.00%
615 CONSTELLATION BRANDS INC 156 13,748 0.00%
616 AGRIUM INC 150 13,745 0.00%
617 POWERSHARES ETF TRUST 650 13,657 0.00%
618 CHICAGO BRIDGE & IRON CO N V 200 13,640 0.00%
619 AMERICAN RAILCAR INDS INC 200 13,554 0.00%
620 EASTMAN CHEM CO 155 13,539 0.00%
621 POWERSHARES ETF TR II 909 13,299 0.00%
622 MENS WEARHOUSE INC 235 13,113 0.00%
623 UNILEVER N V N Y 298 13,040 0.00%
624 Portland General Electric Co 375 13,001 0.00%
625 ISHARES TR 200 12,904 0.00%
626 BARCLAYS BK PLC 500 12,785 0.00%
627 POWERSHARES ETF TRUST 335 12,769 0.00%
628 MBT Financial Corp. 2,308 12,625 0.00%
629 GRNHNTR ENRGY 6,365 12,603 0.00%
630 PARKER HANNIFIN CORP 100 12,573 0.00%
631 DIREXION SHS ETF TR 250 12,553 0.00%
632 NISOURCE INC 318 12,510 0.00%
633 ECHOSTAR CORP 236 12,494 0.00%
634 SUN LIFE FINL INC 334 12,261 0.00%
635 GENERAL AMERN INVS INC 333 12,261 0.00%
636 FIREEYE INC 300 12,165 0.00%
637 CENTURYLINK INC 336 12,163 0.00%
638 POWERSHARES ETF TRUST 400 12,128 0.00%
639 ISHARES TR 109 12,019 0.00%
640 PANDORA MEDIA INC 400 11,800 0.00%
641 VANGUARD BD INDEX FD INC 131 11,776 0.00%
642 VERIFONE SYS INC 320 11,760 0.00%
643 TESORO CORP 200 11,734 0.00%
644 L BRANDS INC 200 11,732 0.00%
645 US 1500 SMALL MID PORTFOLIO 116 11,699 0.00%
646 Vanguard Total International Stock ETF 215 11,672 0.00%
647 KBR INC 489 11,663 0.00%
648 TJX COMPANIES INC 219 11,640 0.00%
649 BED BATH & BEYOND INC 200 11,476 0.00%
650 NATIONAL HEALTH INVS INC 180 11,261 0.00%
Page 13 of 19
Restatement filing (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
1 JDS UNIPHASE CORP COM PAR $0.001 256 3,192 0.00%
2 REVOLUTION LIGHTING TECHNOLO COM 500 1,150 0.00%
3 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 28,764 0.01%
4 Alps Alerian Mlp Etf 93,199 1,770,781 0.63%
5 Arcelor Mittal NY New 4,070 60,765 0.02%
6 CHUBB CORP 162 14,932 0.01%
7 COMPANHIA ENERGETICA DE MINA 2,004 16,012 0.01%
8 CROWN CASTLE INTL CORP 150 11,139 0.00%
9 ENERGY TRANSFER PARTNERS 2,158 125,099 0.04%
10 FRONTLINE LTD ORD 760 2,219 0.00%
11 GERDAU S A SPON 2,574 15,161 0.01%
12 Gladstone Investment 800 5,920 0.00%
13 HEALTH CARE REIT INC 125 7,834 0.00%
14 HOSPITALITY PPTYS TR 100 3,040 0.00%
15 INTERCONTINENTAL HTLS GRP PL 566 23,495 0.01%
16 ISHARES MSCI 3,865 190,351 0.07%
17 ISHARES TR INTL 44,439 1,772,672 0.63%
18 ISHARES TR U.S 602 52,693 0.02%
19 JOHNSON CONTROLS INC 1,139 56,870 0.02%
20 MKT VECTOR HY MUNI INDX ETF 322 9,712 0.00%
21 New Residential Inv Corp 463 2,917 0.00%
22 OI S.A. SPN ADR 312 268 0.00%
23 POWERSHARES ETF 5,305 188,805 0.07%
24 POWERSHS DB MULTI SECT COMM 555 15,240 0.01%
25 SPDR SER TR 97,269 3,011,448 1.07%
26 STMICROELECTRONICS 131 1,165 0.00%
27 Sector Spdr Consumer Fd 918 61,267 0.02%
28 Williams Partners Lp 400 21,716 0.01%
29 * SANDRIDGE ENERGY INC COM 100 715 0.00%
30 3-D SYS CORP DEL 2,960 177,008 0.06%
31 3M CO 3,575 512,083 0.18%
32 ABBOTT LABS 60,222 2,463,080 0.88%
33 ABBVIE INC 46,644 2,632,587 0.94%
34 ACCENTURE PLC IRELAND 637 51,495 0.02%
35 ACUITY BRANDS INC 420 58,065 0.02%
36 ACXIOM CORP 290 6,290 0.00%
37 ADAMS DIVERSIFIED EQUITY FD 1,426 19,608 0.01%
38 ADOBE SYS INC 100 7,236 0.00%
39 ADVANCE AUTO PARTS INC 794 107,126 0.04%
40 ADVENT CLAYMORE CV SECS & IN 300 5,652 0.00%
41 ADVENT CLAYMORE ENH GRW & IN 325 3,348 0.00%
42 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69,139 0.02%
43 ADVISORSHARES TR 1,875 93,600 0.03%
44 ADVISORSHARES TR 56 2,985 0.00%
45 AEGON N V 225 1,973 0.00%
46 AETNA INC NEW 76 6,162 0.00%
47 AFLAC INC 8,364 520,659 0.19%
48 AGL Resources Inc 100 5,503 0.00%
49 AGRIUM INC 150 13,745 0.00%
50 AIR PRODS & CHEMS INC 2,398 308,431 0.11%
Page 1 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 70,476 8,000 2.85%
2 SPDR SERIES TRUST 157,129 6,557 2.34%
3 ISHARES TR 56,097 6,137 2.19%
4 VANGUARD INDEX FDS 74,535 5,578 1.99%
5 ISHARES TR 128,423 5,552 1.98%
6 ISHARES TR 25,907 5,104 1.82%
7 AT&T INC 110,529 3,908 1.39%
8 VANGUARD WHITEHALL FDS INC 51,600 3,422 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227 1.15%
10 iShares S&P U.S. Preferred Stock Index Fd 78,623 3,138 1.12%
11 COCA COLA CO 73,085 3,096 1.10%
12 CONOCOPHILLIPS 35,562 3,049 1.09%
13 SPDR SER TR 97,269 3,011 1.07%
14 ISHARES TR 24,082 2,778 0.99%
15 VANGUARD TAX MANAGED INTL FD 62,123 2,646 0.94%
16 ABBVIE INC 46,644 2,633 0.94%
17 SYSCO CORP 70,199 2,629 0.94%
18 HCP INC 63,512 2,628 0.94%
19 ISHARES TR 24,282 2,628 0.94%
20 DUKE ENERGY CORP NEW 35,030 2,599 0.93%
21 VANGUARD INDEX FDS 31,956 2,587 0.92%
22 SPDR S&P 500 ETF TR 13,060 2,556 0.91%
23 DICKS SPORTING GOODS INC 53,308 2,482 0.88%
24 ABBOTT LABS 60,222 2,463 0.88%
25 ISHARES TR 27,059 2,460 0.88%
26 WAL-MART STORES INC 32,711 2,456 0.87%
27 BAXTER INTL INC 33,261 2,405 0.86%
28 APOLLO GLOBAL MGMT LLC 86,383 2,395 0.85%
29 EBAY INC 47,787 2,392 0.85%
30 SPDR SERIES TRUST 54,756 2,390 0.85%
31 VANGUARD SHORT-TERM TIPS 47,446 2,378 0.85%
32 ULTRA PETROLEUM CORP 79,901 2,372 0.84%
33 EXPRESS SCRIPTS HLDG CO 34,195 2,371 0.84%
34 INTERNATIONAL BUSINESS MACHS 12,837 2,327 0.83%
35 WESTERN UN CO 133,778 2,320 0.83%
36 JP MORGAN ALERIAN MLP ETN 44,222 2,316 0.82%
37 GOOGLE INC 3,989 2,295 0.82%
38 CONSOLIDATED EDISON HLDG CO INC 39,721 2,293 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278 0.81%
40 LOWES COS INC 47,176 2,264 0.81%
41 VANGUARD BD INDEX FD INC 27,921 2,243 0.80%
42 PHARMACYCLICS INC 24,521 2,200 0.78%
43 PETSMART 36,766 2,199 0.78%
44 AMAZON COM INC 6,764 2,197 0.78%
45 NATIONAL OILWELL VARCO, INC. COMMON STOCK CMN 26,514 2,183 0.78%
46 BLACKROCK INC 6,831 2,183 0.78%
47 CME GROUP INC 30,408 2,157 0.77%
48 PHILIP MORRIS INTL INC 25,280 2,131 0.76%
49 ISHARES TR 31,023 2,121 0.76%
50 GENERAL ELECTRIC CO 78,940 2,075 0.74%
Page 1 of 19