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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
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
251 POWERSHARES ETF TRUST 1,408 125 0.04%
252 ENERGY TRANSFER PRTNRS L P 2,158 125 0.04%
253 VANGUARD INDEX FDS 1,390 125 0.04%
254 PLAINS ALL AMERN PIPELINE L 2,040 123 0.04%
255 KINDER MORGAN INC DEL 3,400 123 0.04%
256 VANGUARD SCOTTSDALE FDS 1,906 122 0.04%
257 CELGENE CORP 1,426 122 0.04%
258 ROYAL DUTCH SHELL PLC 1,441 119 0.04%
259 PRICELINE GRP INC 98 118 0.04%
260 MORGAN STANLEY 3,618 117 0.04%
261 WILLIAMS COS INC DEL 2,000 116 0.04%
262 SPIRIT RLTY CAP INC NEW 10,089 115 0.04%
263 VANGUARD INTL EQUITY INDEX F 2,194 115 0.04%
264 ISHARES TR 1,010 115 0.04%
265 ARCHER DANIELS MIDLAND CO 2,600 115 0.04%
266 W P CAREY INC 1,789 115 0.04%
267 MASTERCARD INCORPORATED 1,525 112 0.04%
268 AMER STATES WTR CO 3,325 110 0.04%
269 VANGUARD INDEX FDS 852 109 0.04%
270 COMCAST CORP NEW 1,987 107 0.04%
271 ADVANCE AUTO PARTS INC 794 107 0.04%
272 FIRST TR EXCHANGE TRADED FD 2,100 105 0.04%
273 NEWMARKET CORP 264 104 0.04%
274 ISHARES TR 863 104 0.04%
275 UNILEVER PLC 2,296 104 0.04%
276 EATON CORP PLC 1,332 103 0.04%
277 ISHARES TR 684 101 0.04%
278 POWERSHARES ETF TRUST 1,657 101 0.04%
279 ALLIANT ENERGY CORP 1,650 100 0.04%
280 ISHARES TR 963 99 0.04%
281 BRISTOL MYERS SQUIBB CO 2,037 99 0.04%
282 AMEREN CORP 2,400 98 0.03%
283 ISHARES 7-10 YEAR TREASURY BOND ETF 946 98 0.03%
284 FMC TECHNOLOGIES INC 1,600 98 0.03%
285 SIRIUS XM HOLDINGS INC 28,000 97 0.03%
286 Market Vectors Agribusiness ET 1,772 97 0.03%
287 FACTSET RESH SYS INC 797 96 0.03%
288 BARRICK GOLD CORP 5,259 96 0.03%
289 WERNER ENTERPRISES INC 3,600 95 0.03%
290 STARBUCKS CORP 1,230 95 0.03%
291 HALLIBURTON CO 1,337 95 0.03%
292 BANK NEW YORK MELLON CORP 2,500 94 0.03%
293 ADVISORSHARES TRUST NEWFLT MULSINC ETF 1,875 94 0.03%
294 PIMCO ETF TR 912 92 0.03%
295 FIRST SOLAR INC 1,300 92 0.03%
296 RESMED INC 1,800 91 0.03%
297 VARIAN MED SYS INC 1,082 90 0.03%
298 BLACKROCK LIMITED DURATION INCORPORATED TR COM SHS 5,186 90 0.03%
299 VANGUARD WORLD FD 913 88 0.03%
300 TRANSOCEAN LTD 1,900 86 0.03%
Page 6 of 19