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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
1 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 28,764 0.01%
2 FMC TECHNOLOGIES INC COM 1,600 97,712 0.03%
3 FRONTLINE LTD ORD 760 2,219 0.00%
4 INTERCONTINENTAL HTLS GRP PL 566 23,495 0.01%
5 OI S.A. SPN ADR 312 268 0.00%
6 * SANDRIDGE ENERGY INC COM 100 715 0.00%
7 1ST TR HI YLD LG/SH ETF 450 23,702 0.01%
8 3-D SYS CORP DEL 2,960 177,008 0.06%
9 3M CO 3,575 512,083 0.18%
10 ABB LIMITED SPONS ADR 2,226 51,243 0.02%
11 ABBOTT LABS 60,222 2,463,080 0.88%
12 ABBVIE INC 46,644 2,632,587 0.94%
13 ACCENTURE PLC IRELAND CLASS A 637 51,495 0.02%
14 ACUITY BRANDS INC 420 58,065 0.02%
15 ACXIOM CORP 290 6,290 0.00%
16 ADAMS DIVERSIFIED EQUITY FD COM 1,426 19,608 0.01%
17 ADOBE SYS INC 100 7,236 0.00%
18 ADVANCED AUTO PTS INC COM 794 107,126 0.04%
19 ADVENT CLAYMORE CONV SEC 300 5,652 0.00%
20 ADVENT CLAYMORE ENH GRW & INC COM 325 3,348 0.00%
21 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69,139 0.02%
22 ADVISORSHARES NEWFLEET MULT-SECT 1,875 93,600 0.03%
23 AETNA U S HEALTHCARE INC 76 6,162 0.00%
24 AFLAC INC 8,364 520,659 0.19%
25 AGL Resources Inc 100 5,503 0.00%
26 AGRIUM INC 150 13,745 0.00%
27 AIR PRODS & CHEMS INC 2,398 308,431 0.11%
28 AK STL HLDG CORP COM 3,245 25,830 0.01%
29 AKAMAI TECHNOLOGIES INC 350 21,371 0.01%
30 AKORN INC 1,013 33,682 0.01%
31 ALEXION PHARMACEUTICALS INC 200 31,250 0.01%
32 ALLIANCE RES PARTNER L P UT LTD PART 8,231 383,976 0.14%
33 ALLIANCEBERNSTEIN GBL HGH INCM COM 1,181 16,971 0.01%
34 ALLIANT CORP 1,650 100,419 0.04%
35 ALLIANZGI CONV & INCOME FD COM 1,900 20,121 0.01%
36 ALLSTATE CORP 185 10,863 0.00%
37 ALPS ALLERIAN MLP ETF 93,199 1,770,781 0.63%
38 ALPS ETF TR 300 9,429 0.00%
39 ALTRIA GROUP INC 48,154 2,019,579 0.72%
40 AMAZON COM INC 6,764 2,196,812 0.78%
41 AMBEV SA-ADR 33,136 233,277 0.08%
42 AMEREN CORP 2,400 98,112 0.03%
43 AMERICAN ELECTRIC POWER 9,419 525,298 0.19%
44 AMERICAN INTERNATIONAL GROUP I 194 10,589 0.00%
45 AMERICAN RAILCAR INDS INC COM 200 13,554 0.00%
46 AMERICAN RLTY CAP PPTYS INC 74,071 928,110 0.33%
47 AMERICAN STS WTR CO 3,325 110,490 0.04%
48 AMERICAN WTR WKS CO INC NEW 129 6,379 0.00%
49 AMETEK INC NEW 1,350 70,578 0.03%
50 AMGEN INC 300 35,511 0.01%
Page 1 of 19
Restatement filing (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
901 TELEFONICA BRASIL SA ADR 27 554 0.00%
902 COGNIZANT TECHNLGY SLTNS CORCL 10 489 0.00%
903 Blackhawk Network 18 483 0.00%
904 TERADATA CORP DEL 12 482 0.00%
905 FOREST OIL CORP 200 456 0.00%
906 JA SOLAR HOLDINGS CO LTD 40 434 0.00%
907 MALLINCKRODT PUB LTD CO 5 400 0.00%
908 KRISPY KREME DOUGHNT 25 400 0.00%
909 ENDOCYTE INC 60 395 0.00%
910 GAIAM INC 51 392 0.00%
911 KODIAK OIL & GAS CORP 25 364 0.00%
912 STATOIL ASA SPONSORED ADR 10 308 0.00%
913 OI S.A. SPN ADR 312 268 0.00%
914 Neo Performance Materials 100 257 0.00%
915 COHEN & STEERS GLOBAL REALTY MAJORS ETF 5 214 0.00%
916 TWENTY FIRST CENTY FOX INC 6 211 0.00%
Page 19 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 20TREAS INDX 70,476 8,000 2.85%
2 SPDR LEH HI YLD BOND ETF 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 EMERGING MKT INTL MSCI 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 HGH DIV YLD ETF 51,600 3,422 1.22%
9 BERKSHIRE HATHAWAY INC DEL 25,498 3,227 1.15%
10 ISHS U S PFD STK ETF 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 SHRT HI YLD BD ETF 97,269 3,011 1.07%
14 ISHARES UST INFLTN PRTD 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 CORPORATION 70,199 2,629 0.94%
18 HCP INC 63,512 2,628 0.94%
19 ISHARES BARCLAYS MBS BOND 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 WELLS FARGO PFD ETF 54,756 2,390 0.85%
31 VNGRD SHRT INFL PRO ETF 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 JPMORGAN CHASE & CO 44,222 2,316 0.82%
37 GOOGLE INC 3,989 2,295 0.82%
38 CONSOLIDATED EDISON 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 26,514 2,183 0.78%
46 BLACKROCK INC CL A 6,831 2,183 0.78%
47 CME GROUP INC CLASS A 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