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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
101 QUALCOMM INC 8,903 705,118 0.25%
102 FIRST TR EXCHANGE TRADED FD 25,750 696,023 0.25%
103 POWERSHARES ETF TR II 23,726 691,850 0.25%
104 EXXON MOBIL CORP 6,739 678,483 0.24%
105 UNITED PARCEL SERVICE INC 6,424 659,488 0.23%
106 SPDR GOLD TR 5,146 658,894 0.23%
107 FIRST TR MORNINGSTAR DIV LEA 27,446 652,666 0.23%
108 NUCOR CORP 13,205 650,346 0.23%
109 IPATH BLOOMBERG COMMODITY INDEX TOTAL RETURN ETN 15,978 630,172 0.22%
110 ISHARES TR 12,405 624,096 0.22%
111 VANGUARD INDEX FDS 6,126 623,443 0.22%
112 MAIN STREET CAPITAL CORP 18,824 619,874 0.22%
113 EMERSON ELEC CO 9,300 617,148 0.22%
114 UNITED STATES OIL FUND LP 15,727 611,466 0.22%
115 ISHARES MSCI EAFE SMALL CAP IDX FD 11,470 606,992 0.22%
116 STEEL DYNAMICS INC 33,307 597,861 0.21%
117 ICAHN ENTERPRISES LP 5,970 595,209 0.21%
118 PEPSICO INC 6,609 590,448 0.21%
119 ISHARES TR 4,096 586,056 0.21%
120 ISHARES TR 9,392 584,276 0.21%
121 FIRST TRUST EXCH TRADED FUND 2 MATERIALS ALPH ETF 17,058 582,531 0.21%
122 REALTY INCOME CORP 12,897 572,885 0.20%
123 FIRST TR EXCHANGE TRADED FD 21,433 567,546 0.20%
124 SOUTHERN CO 12,428 563,983 0.20%
125 CINCINNATI FINL CORP 11,700 562,068 0.20%
126 SELECT SECTOR SPDR TR 8,885 540,475 0.19%
127 ISHARES TR 4,996 525,529 0.19%
128 AMERICAN ELEC PWR INC 9,419 525,298 0.19%
129 AFLAC INC 8,364 520,659 0.19%
130 FIRST TR EXCHANGE-TRADED FD 6,270 516,209 0.18%
131 3M CO 3,575 512,083 0.18%
132 PFIZER INC 17,081 506,964 0.18%
133 CATERPILLAR INC 4,605 500,425 0.18%
134 SPDR SER TR 6,513 498,831 0.18%
135 SELECT SECTOR SPDR TR 12,637 484,629 0.17%
136 FIRST TR EXCH TRD ALPHDX FD 9,116 483,786 0.17%
137 POWERSHARES GLOBAL ETF FD 22,527 481,853 0.17%
138 ISHARES TR 3,908 475,994 0.17%
139 ISHARES TR 4,456 451,259 0.16%
140 POWERSHARES ETF TRUST II 17,674 439,552 0.16%
141 BANK AMER CORP 28,361 435,909 0.16%
142 DANAHER CORP DEL 5,456 429,551 0.15%
143 FIRST TRUST EXCH TRADED FUND 2 FINLS ALPHADEX ETF 19,065 424,387 0.15%
144 FIRST TR LRGE CP CORE ALPHA 9,463 419,400 0.15%
145 AUTOMATIC DATA PROCESSING IN 5,200 412,256 0.15%
146 ISHARES TR 4,457 402,378 0.14%
147 POWERSHARES ETF TRUST 32,350 398,876 0.14%
148 HELMERICH & PAYNE INC 3,402 395,006 0.14%
149 VANGUARD SCOTTSDALE FDS 4,857 390,357 0.14%
150 WISDOMTREE TR 7,490 388,282 0.14%
Page 3 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 ISHARES MSCI SINGAP ETF 17,812 241 0.09%
2 JDS UNIPHASE CORP COM PAR $0.001 256 3 0.00%
3 REVOLUTION LIGHTING TECHNOLO COM 500 1 0.00%
4 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 29 0.01%
5 FRONTLINE LTD ORD 760 2 0.00%
6 INTERCONTINENTAL HTLS GRP PL 566 23 0.01%
7 OI S.A. SPN ADR 312 0 0.00%
8 PEABODY ENERGY CORP 2,273 37 0.01%
9 Williams Partners Lp 400 22 0.01%
10 * SANDRIDGE ENERGY INC COM 100 1 0.00%
11 3-D SYS CORP DEL 2,960 177 0.06%
12 3M CO 3,575 512 0.18%
13 ABB LTD 2,226 51 0.02%
14 ABBOTT LABS 60,222 2,463 0.88%
15 ABBVIE INC 46,644 2,633 0.94%
16 ACCENTURE PLC IRELAND 637 51 0.02%
17 ACUITY BRANDS INC 420 58 0.02%
18 ADAMS DIVERSIFIED EQUITY FD 1,426 20 0.01%
19 ADOBE INC 100 7 0.00%
20 ADVANCE AUTO PARTS INC 794 107 0.04%
21 ADVENT CLAYMORE CV SECS & INCORPORATED 325 3 0.00%
22 ADVENT CLAYMORE CV SECS & INCORPORATED 300 6 0.00%
23 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69 0.02%
24 ADVISORSHARES TR 56 3 0.00%
25 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,875 94 0.03%
26 AEGON N V 225 2 0.00%
27 AETNA INC NEW 76 6 0.00%
28 AFLAC INC 8,364 521 0.19%
29 AGL Resources Inc 100 6 0.00%
30 AGRIUM INC 150 14 0.00%
31 AIR PRODS & CHEMS INC 2,398 308 0.11%
32 AK STL HLDG CORP 3,245 26 0.01%
33 AKAMAI TECHNOLOGIES INC 350 21 0.01%
34 AKORN INCORPORATED 1,013 34 0.01%
35 ALEXION PHARMACEUTIC 200 31 0.01%
36 ALLIANCE RES PARTNER L P 8,231 384 0.14%
37 ALLIANCEBERNSTEIN GLOBAL HIG 1,181 17 0.01%
38 ALLIANT ENERGY CORP 1,650 100 0.04%
39 ALLIANZGI CONV & INCOME FD 1,900 20 0.01%
40 ALLSTATE CORP 185 11 0.00%
41 ALPS ETF TR 300 9 0.00%
42 ALPS ETF TR 93,199 1,771 0.63%
43 ALPS ETF TR 5 0 0.00%
44 ALTRIA GROUP INC 48,154 2,020 0.72%
45 AMAZON COM INC 6,764 2,197 0.78%
46 AMBEV SA 33,136 233 0.08%
47 AMER STATES WTR CO 3,325 110 0.04%
48 AMEREN CORP 2,400 98 0.03%
49 AMERICAN ELEC PWR INC 9,419 525 0.19%
50 AMERICAN INTL GROUP INC 194 11 0.00%
Page 1 of 19