Dark
Light
System
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
1 ISHARES MSCI SINGAP ETF 17,812 240,818 0.09%
2 JDS UNIPHASE CORP COM PAR $0.001 256 3,192 0.00%
3 REVOLUTION LIGHTING TECHNOLO COM 500 1,150 0.00%
4 ALLIANCE BERNSTEIN INCOME FUND ADVISOR 3,825 28,764 0.01%
5 FRONTLINE LTD ORD 760 2,219 0.00%
6 INTERCONTINENTAL HTLS GRP PL 566 23,495 0.01%
7 OI S.A. SPN ADR 312 268 0.00%
8 PEABODY ENERGY CORP 2,273 37,164 0.01%
9 Williams Partners Lp 400 21,716 0.01%
10 * SANDRIDGE ENERGY INC COM 100 715 0.00%
11 3-D SYS CORP DEL 2,960 177,008 0.06%
12 3M CO 3,575 512,083 0.18%
13 ABB LTD 2,226 51,243 0.02%
14 ABBOTT LABS 60,222 2,463,080 0.88%
15 ABBVIE INC 46,644 2,632,587 0.94%
16 ACCENTURE PLC IRELAND 637 51,495 0.02%
17 ACUITY BRANDS INC 420 58,065 0.02%
18 ADAMS DIVERSIFIED EQUITY FD 1,426 19,608 0.01%
19 ADOBE INC 100 7,236 0.00%
20 ADVANCE AUTO PARTS INC 794 107,126 0.04%
21 ADVENT CLAYMORE CV SECS & INCORPORATED 300 5,652 0.00%
22 ADVENT CLAYMORE ENH GRW & IN 325 3,348 0.00%
23 ADVISORSHARES MORGAN CREEK GLOBAL TACTICAL ETF 2,648 69,139 0.02%
24 ADVISORSHARES TR 56 2,985 0.00%
25 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,875 93,600 0.03%
26 AEGON N V 225 1,973 0.00%
27 AETNA INC NEW 76 6,162 0.00%
28 AFLAC INC 8,364 520,659 0.19%
29 AGL Resources Inc 100 5,503 0.00%
30 AGRIUM INC 150 13,745 0.00%
31 AIR PRODS & CHEMS INC 2,398 308,431 0.11%
32 AK STL HLDG CORP 3,245 25,830 0.01%
33 AKAMAI TECHNOLOGIES INC 350 21,371 0.01%
34 AKORN INCORPORATED 1,013 33,682 0.01%
35 ALEXION PHARMACEUTIC 200 31,250 0.01%
36 ALLIANCE RES PARTNER L P 8,231 383,976 0.14%
37 ALLIANCEBERNSTEIN GLOBAL HIG 1,181 16,971 0.01%
38 ALLIANT ENERGY CORP 1,650 100,419 0.04%
39 ALLIANZGI CONV & INCOME FD 1,900 20,121 0.01%
40 ALLSTATE CORP 185 10,863 0.00%
41 ALPS ETF TR 93,199 1,770,781 0.63%
42 ALPS ETF TR 300 9,429 0.00%
43 ALPS ETF TR 5 214 0.00%
44 ALTRIA GROUP INC 48,154 2,019,579 0.72%
45 AMAZON COM INC 6,764 2,196,812 0.78%
46 AMBEV SA 33,136 233,277 0.08%
47 AMER STATES WTR CO 3,325 110,490 0.04%
48 AMEREN CORP 2,400 98,112 0.03%
49 AMERICAN ELEC PWR INC 9,419 525,298 0.19%
50 AMERICAN INTL GROUP INC 194 10,589 0.00%
Page 1 of 19
Restatement filing (0001606587-15-000072) filed in 2015.02.17
#
Name
Shares
Value ($)
%
Options
Notes
801 CARNIVAL CORP 100 4 0.00%
802 Foundation Medicine 150 4 0.00%
803 ISHARES COHEN & STEERS REIT ETF 50 4 0.00%
804 ATLAS RESOURCES PARTNERS LP 176 4 0.00%
805 STEMCELLS INC COM NEW 1,870 4 0.00%
806 ISHARES TR 100 3 0.00%
807 CAMBRIA FOREIGN SHAREHOLDER YIELD ETF 100 3 0.00%
808 ADVISORSHARES TR 56 3 0.00%
809 WHITEWAVE FOODS CO 100 3 0.00%
810 Warren Resources Inc 409 3 0.00%
811 UNITEDHEALTH GROUP INC 38 3 0.00%
812 UIL HLDGS CP 82 3 0.00%
813 TOTAL SYS SVCS INC 90 3 0.00%
814 TASER INTL INC 200 3 0.00%
815 POWERSHARES ETF TRUST 100 3 0.00%
816 SPRINT CORP 294 3 0.00%
817 SPECTRUM PHARMACEUTICALS INC COM 400 3 0.00%
818 SILVER STD RES INC 300 3 0.00%
819 QIWI PLC 81 3 0.00%
820 ONE GAS INC COM 70 3 0.00%
821 New Residential Investment Cor 463 3 0.00%
822 NAVIENT 166 3 0.00%
823 MOTOROLA SOLUTIONS INC 42 3 0.00%
824 MARATHON PETE CORP 35 3 0.00%
825 Intuit Inc 20 3 0.00%
826 KRAFT HEINZ CO COM 57 3 0.00%
827 JDS UNIPHASE CORP COM PAR $0.001 256 3 0.00%
828 IMAX CORP 100 3 0.00%
829 HOSPITALITY PPTYS TR 100 3 0.00%
830 ENCANA CORP 142 3 0.00%
831 EATON VANCE TAX-MANAGED GLOBAL COM 250 3 0.00%
832 CLIFFS NAT RES INC 230 3 0.00%
833 CHICOS FAS INC 200 3 0.00%
834 CENTERPOINT ENERGY INC 110 3 0.00%
835 BROADCOM CORP CL A 80 3 0.00%
836 BOSTON SCIENTIFIC CORP 245 3 0.00%
837 AUTODESK INC 50 3 0.00%
838 SPDR SER TR 60 3 0.00%
839 ADVENT CLAYMORE CV SECS & INCORPORATED 325 3 0.00%
840 CLAYMORE EXCHANGE TRD FD TR 69 3 0.00%
841 RICHARDSON ELECTRS LTD 200 2 0.00%
842 TYCO INTL LTD. 41 2 0.00%
843 Intl Game Technology 100 2 0.00%
844 PIONEER FLOATING RATE TR 200 2 0.00%
845 Enterprise Finl Svcs Corp 100 2 0.00%
846 Teekay Offshore Partners LP 68 2 0.00%
847 Wuxi Pharmatech Inc ADR 63 2 0.00%
848 FRONTLINE LTD ORD 760 2 0.00%
849 CASH AMER INTL 50 2 0.00%
850 AEGON N V 225 2 0.00%
Page 17 of 19