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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 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 (0001606587-14-000208) filed in 2014.08.15
#
Name
Shares
Value ($)
%
Options
Notes
751 iPath S&P 500 VIX Short-Term F 212 6,063 0.00%
752 GLADSTONE INVT CORP 800 5,920 0.00%
753 STONEX GROUP INC COM 295 5,876 0.00%
754 BONANZA CREEK ENERGY INC 100 5,719 0.00%
755 POWERSHARES N/C 6/4/18 46138E636 185 5,674 0.00%
756 ADVENT CLAYMORE CV SECS & INCORPORATED 300 5,652 0.00%
757 DBX ETF TR 255 5,633 0.00%
758 INSYS THERAPEUTICS INC NEW COM NEW 180 5,621 0.00%
759 THORATEC LABS CORP 160 5,578 0.00%
760 AGL Resources Inc 100 5,503 0.00%
761 TEXAS INSTRS INC 115 5,496 0.00%
762 GUGGENHEIM STRATEGIC OPPORTU 250 5,495 0.00%
763 HIMAX TECHNOLOGIES INC 800 5,488 0.00%
764 GENERAL MTRS CO 294 5,457 0.00%
765 TRIPADVISOR INC 50 5,433 0.00%
766 NORTHERN OIL & GAS INC NEV 333 5,425 0.00%
767 OLIN CORP 200 5,384 0.00%
768 LULULEMON ATHLETICA INC 132 5,343 0.00%
769 JOHN BEAN TECHNOLOGIES CORP COM 172 5,330 0.00%
770 COMMONWEALTH REIT 200 5,264 0.00%
771 POWERSHARES ETF TRUST 80 5,217 0.00%
772 ISHARES TR 150 5,198 0.00%
773 HANCOCK JOHN PFD INCOME FD 250 5,148 0.00%
774 Market Vctrs Rare Erth 143 5,064 0.00%
775 STRYKER CORP 60 5,059 0.00%
776 HANCOCK JOHN FINL OPPTYS FD 212 4,906 0.00%
777 PDL BIOPHARMA INC 504 4,879 0.00%
778 TAIWAN SEMICONDUCTOR MFG LTD 222 4,749 0.00%
779 DEVON ENERGY CORP NEW 59 4,685 0.00%
780 BROOKFIELD INFRAST PARTNERS 111 4,631 0.00%
781 PEMBINA PIPELINE CORP 100 4,591 0.00%
782 FLOWSERVE CORP 60 4,461 0.00%
783 PROSHARES TR 35 4,435 0.00%
784 ISHARES COHEN & STEERS REIT ETF 50 4,367 0.00%
785 PIMCO MUN INCOME FD 300 4,320 0.00%
786 NORTHROP GRUMMAN CORP 36 4,307 0.00%
787 CAPITAL ONE FINL CORP 52 4,295 0.00%
788 FRONTIER COMMUNICATIONS CORP 729 4,257 0.00%
789 ORGANOVO HLDGS INC 500 4,175 0.00%
790 TE CONNECTIVITY LTD 67 4,143 0.00%
791 GALECTIN THERAPEUTICS INC COM 300 4,143 0.00%
792 SELECT SECTOR SPDR TR 76 4,109 0.00%
793 SUNPOWER CORP 100 4,098 0.00%
794 Foundation Medicine 150 4,044 0.00%
795 QUESTAR CORP COM 160 3,968 0.00%
796 EXPEDIA INC DEL 50 3,938 0.00%
797 Safeway Inc - Safeway PDC LLC CVR 114 3,915 0.00%
798 PENN WEST PETE LTD NEW 400 3,904 0.00%
799 BROADRIDGE FINL SOLUTIONS IN 92 3,831 0.00%
800 ELDORADO GOLD CORP NEW 500 3,820 0.00%
Page 16 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