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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
651 CROWN CASTLE INTL CORP 150 11,139 0.00%
652 WISDOMTREE GLOBAL 225 11,113 0.00%
653 OMEGA HEALTHCARE INVS INC 300 11,058 0.00%
654 SALESFORCE COM INC 190 11,035 0.00%
655 NETFLIX INC 25 11,015 0.00%
656 COMPUTER PROGRAMS & SYS INC COM 172 10,939 0.00%
657 ALLSTATE CORP 185 10,863 0.00%
658 HARTFORD FINL SVCS GROUP INC 300 10,743 0.00%
659 FIRST TR MID CAP CORE ALPHAD 200 10,690 0.00%
660 AQUA AMERICA INC 406 10,645 0.00%
661 AMERICAN INTL GROUP INC 194 10,589 0.00%
662 FIRST AMERN FINL CORP 378 10,505 0.00%
663 COACH INC 305 10,428 0.00%
664 GAP 249 10,351 0.00%
665 IONIS PHARMACEUTICAL 300 10,335 0.00%
666 NOODLES AND CO CL A 300 10,317 0.00%
667 NUVEEN INVT MN QTY I 700 10,276 0.00%
668 COMERICA INC 200 10,032 0.00%
669 Syntel Inc Com 115 9,885 0.00%
670 MANULIFE FINL CORP 494 9,816 0.00%
671 HIBBETT INC COM 180 9,751 0.00%
672 Van Eck 322 9,712 0.00%
673 XCEL ENERGY INC 300 9,669 0.00%
674 DIREXION SHS ETF TRUST DAILY 20 YR TREASURY BEAR 200 9,654 0.00%
675 CNH INDL N V 943 9,637 0.00%
676 FIDUCIARY CLAYMORE MLP OPP F 335 9,635 0.00%
677 DOLLAR TREE INC 176 9,585 0.00%
678 ZOETIS INC 295 9,520 0.00%
679 NUVEEN PFD INCOME OPPORTUN 980 9,506 0.00%
680 BEYOND INC 600 9,462 0.00%
681 ISHARES TR 95 9,434 0.00%
682 ALPS ETF TR 300 9,429 0.00%
683 ISHARES 292 9,405 0.00%
684 ETFS PHYSICAL PLATINUM SHARES 65 9,401 0.00%
685 BOSTON BEER INC 42 9,388 0.00%
686 GALLAGHER ARTHUR J & CO 200 9,320 0.00%
687 R H 100 9,305 0.00%
688 ROSS STORES INC 139 9,192 0.00%
689 HONDA MOTOR LTD 260 9,097 0.00%
690 PEGASYSTEMS INC 430 9,082 0.00%
691 SOUTH JERSEY INDS INC COM 150 9,062 0.00%
692 HANCOCK JOHN PFD INCOME FD I 500 8,955 0.00%
693 NUVEEN REAL ESTATE INCOME FD 800 8,944 0.00%
694 PRUDENTIAL FINL INC 100 8,877 0.00%
695 BUCKLE INC 200 8,872 0.00%
696 POPEYES LA KITCHEN INC 200 8,742 0.00%
697 NEOGEN CORP COM 215 8,701 0.00%
698 FORWARD AIR CORP COM 180 8,613 0.00%
699 NUVEEN PREFERRED SECURITIES 950 8,579 0.00%
700 SPDR INDEX SHS FDS 114 8,577 0.00%
Page 14 of 19
Restatement filing (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES 20 YEAR TREASURY BOND ETF 70,476 8,000,436 2.85%
2 SPDR SERIES TRUST 157,129 6,556,993 2.34%
3 ISHARES TR 56,097 6,137,012 2.19%
4 VANGUARD INDEX FDS 74,535 5,578,199 1.99%
5 ISHARES TR 128,423 5,551,726 1.98%
6 ISHARES TR 25,907 5,103,679 1.82%
7 AT&T INC 110,529 3,908,305 1.39%
8 VANGUARD WHITEHALL FDS 51,600 3,421,854 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227,027 1.15%
10 ISHARES TR 78,623 3,137,844 1.12%
11 COCA COLA CO 73,085 3,095,881 1.10%
12 CONOCOPHILLIPS 35,562 3,048,730 1.09%
13 SPDR SER TR 97,269 3,011,448 1.07%
14 ISHARES TR 24,082 2,778,100 0.99%
15 VANGUARD TAX-MANAGED FDS 62,123 2,645,819 0.94%
16 ABBVIE INC 46,644 2,632,587 0.94%
17 SYSCO CORP 70,199 2,628,953 0.94%
18 HCP INC 63,512 2,628,127 0.94%
19 ISHARES TR 24,282 2,627,798 0.94%
20 DUKE ENERGY CORP NEW 35,030 2,598,876 0.93%
21 VANGUARD INDEX FDS 31,956 2,586,838 0.92%
22 SPDR S&P 500 ETF TR 13,060 2,556,103 0.91%
23 DICKS SPORTING GOODS INC 53,308 2,482,020 0.88%
24 ABBOTT LABS 60,222 2,463,080 0.88%
25 ISHARES TR 27,059 2,460,475 0.88%
26 WAL-MART STORES INC 32,711 2,455,615 0.87%
27 BAXTER INTL INC 33,261 2,404,770 0.86%
28 APOLLO GLOBAL MGMT LLC 86,383 2,394,537 0.85%
29 EBAY INC 47,787 2,392,217 0.85%
30 SPDR SERIES TRUST 54,756 2,390,099 0.85%
31 VANGUARD MALVERN FDS 47,446 2,377,994 0.85%
32 ULTRA PETROLEUM CORP 79,901 2,372,261 0.84%
33 EXPRESS SCRIPTS HLDG CO 34,195 2,370,739 0.84%
34 INTERNATIONAL BUSINESS MACHS 12,837 2,326,963 0.83%
35 WESTERN UN CO 133,778 2,319,711 0.83%
36 JPMORGAN CHASE & CO 44,222 2,316,348 0.83%
37 GOOGLE INC 3,989 2,294,792 0.82%
38 CONSOLIDATED EDISON INC 39,721 2,293,491 0.82%
39 KINDER MORGAN MANAGEMENT LLC 28,865 2,278,314 0.81%
40 LOWES COS INC 47,176 2,263,976 0.81%
41 VANGUARD BD INDEX FDS 27,921 2,243,173 0.80%
42 PHARMACYCLICS INC 24,521 2,199,779 0.78%
43 PETSMART 36,766 2,198,607 0.78%
44 AMAZON COM INC 6,764 2,196,812 0.78%
45 NATIONAL OILWELL VARCO INC 26,514 2,183,428 0.78%
46 BLACKROCK INC 6,831 2,183,188 0.78%
47 CME GROUP INC 30,408 2,157,448 0.77%
48 PHILIP MORRIS INTL INC 25,280 2,131,357 0.76%
49 ISHARES TR 31,023 2,121,043 0.76%
50 GENERAL ELECTRIC CO 78,940 2,074,543 0.74%
Page 1 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 OI S.A. SPN ADR 312 0 0.00%
2 PEREGRINE PHARMACEUTICALS IN 100 0 0.00%
3 FOREST OIL CORP 200 0 0.00%
4 DEUTSCHE BK AG RT 872 0 0.00%
5 GAIAM INC 51 0 0.00%
6 Quantum Fuel Systems Tech Worl 4 0 0.00%
7 STATOIL ASA 10 0 0.00%
8 RARE ELEMENT RES LTD 100 0 0.00%
9 ELECTRONIC ARTS INC 2 0 0.00%
10 Corinthian Colleges, Inc. 260 0 0.00%
11 SONY GROUP CORP 10 0 0.00%
12 JA SOLAR HOLDINGS COMPANY LIMITED SPON ADR REP5ORD 40 0 0.00%
13 ENDOCYTE INC 60 0 0.00%
14 DIREXION SHS ETF TR 5 0 0.00%
15 MALLINCKRODT PUB LTD CO 5 0 0.00%
16 PROTHENA CORP PLC 3 0 0.00%
17 COGNIZANT TECHNOLOGY SOLUTIO 10 0 0.00%
18 KODIAK OIL & GAS CORP 25 0 0.00%
19 KRISPY KREME DOUGHNT 25 0 0.00%
20 ALPS ETF TR 5 0 0.00%
21 LEVEL 3 COMM 4 0 0.00%
22 Washington Prime Group 7 0 0.00%
23 LULULEMON ATHLETICA INC 1,727 0 0.00%
24 TWENTY FIRST CENTY FOX INC 6 0 0.00%
25 Neo Performance Materials 100 0 0.00%
26 Blackhawk Network 18 0 0.00%
27 TIME INC NEW 2 0 0.00%
28 TIM PARTICIPACOES S A 5 0 0.00%
29 NEWS CORP CL A 1 0 0.00%
30 TERADATA CORP DEL 12 0 0.00%
31 INGERSOLL-RAND PLC 20 1 0.00%
32 Alcatel Lucent Adr 164 1 0.00%
33 TELEFONICA BRASIL SA 27 1 0.00%
34 PANERA BREAD CO 10 1 0.00%
35 SUNTRUST BKS INC 29 1 0.00%
36 NAM TAI PPTY INC SHS 190 1 0.00%
37 PENTAIR PLC 8 1 0.00%
38 LIME ENERGY CO COM 357 1 0.00%
39 POWERSHARES ETF TRUST II 75 1 0.00%
40 KENNAMETAL INC 20 1 0.00%
41 Adt Corp 20 1 0.00%
42 STMICROELECTRONICS N V 131 1 0.00%
43 Cimpress NV 30 1 0.00%
44 FIRST MAJESTIC SILVER CORP 110 1 0.00%
45 PERRIGO CO PLC 10 1 0.00%
46 REVOLUTION LIGHTING TECHNOLO COM 500 1 0.00%
47 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 448 1 0.00%
48 LUBYS INC COM 130 1 0.00%
49 APPLIED MATLS INC 50 1 0.00%
50 * SANDRIDGE ENERGY INC COM 100 1 0.00%
Page 1 of 19