0001559789-18-000002.txt : 20181105 0001559789-18-000002.hdr.sgml : 20181105 20181105142033 ACCESSION NUMBER: 0001559789-18-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181105 DATE AS OF CHANGE: 20181105 EFFECTIVENESS DATE: 20181105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Regal Investment Advisors LLC CENTRAL INDEX KEY: 0001559789 IRS NUMBER: 223844414 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15474 FILM NUMBER: 181159626 BUSINESS ADDRESS: STREET 1: 2687 44TH STREET SE CITY: KENTWOOD STATE: MI ZIP: 49512 BUSINESS PHONE: 616-224-2204 MAIL ADDRESS: STREET 1: 2687 44TH STREET SE CITY: KENTWOOD STATE: MI ZIP: 49512 FORMER COMPANY: FORMER CONFORMED NAME: Regal Investment Advisors, LLC DATE OF NAME CHANGE: 20121005 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001559789 XXXXXXXX 09-30-2018 09-30-2018 Regal Investment Advisors LLC

2687 44TH STREET SE KENTWOOD MI 49512

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3670 ABBOTT LABS COM 002824100 424 5776 SH SOLE None 0 0 5776 FIRST TR EXCHANGE TRADED FD NASDAQ BK ETF 33738R860 425 15245 SH SOLE None 0 0 15245 INVESCO EXCHNG TRADED FD TR S&P500 HDL VOL 46138E362 442 10682 SH SOLE None 0 0 10682 ISHARES TR MSCI ACWI ETF 464288257 444 5980 SH SOLE None 0 0 5980 UNITEDHEALTH GROUP INC COM 91324P102 446 1676 SH SOLE None 0 0 1676 SOUTHERN CO COM 842587107 446 10236 SH SOLE None 0 0 10236 FIRST TR EXCH TRD ALPHA FD I DEV MRK EX US 33737J174 447 7530 SH SOLE None 0 0 7530 WISDOMTREE TR EMER MKT HIGH FD 97717W315 449 10273 SH SOLE None 0 0 10273 ISHARES TR U.S. TECH ETF 464287721 456 2350 SH SOLE None 0 0 2350 RAYTHEON CO COM NEW 755111507 457 2210 SH SOLE None 0 0 2210 ISHARES TR SP SMCP600VL ETF 464287879 457 2739 SH SOLE None 0 0 2739 ISHARES TR JPMORGAN USD EMG 464288281 458 4245 SH SOLE None 0 0 4245 ISHARES TR TIPS BD ETF 464287176 465 4207 SH SOLE None 0 0 4207 WISDOMTREE TR CURRNCY INT EQ 97717X263 476 16087 SH SOLE None 0 0 16087 FIRST TR 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ISHARES TR U.S. REAL ES ETF 464287739 549 6865 SH SOLE None 0 0 6865 UNITED STATES OIL FUND LP UNITS 91232N108 553 35617 SH SOLE None 0 0 35617 ISHARES TR CRE U S REIT ETF 464288521 555 11481 SH SOLE None 0 0 11481 GRACO INC COM 384109104 559 12053 SH SOLE None 0 0 12053 MAINSTAY MACKAY DEFINDTRM MU COM 56064K100 568 28921 SH SOLE None 0 0 28921 ISHARES TR S&P 500 VAL ETF 464287408 573 4944 SH SOLE None 0 0 4944 GLOBAL X FDS SUPER DIV ALTR 37954Y806 577 38201 SH SOLE None 0 0 38201 MERCK & CO INC COM 58933Y105 580 8183 SH SOLE None 0 0 8183 ENTERGY CORP NEW COM 29364G103 582 7178 SH SOLE None 0 0 7178 INVESCO EXCHNG TRADED FD TR KBW PREM YIELD 46138E594 590 17439 SH SOLE None 0 0 17439 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189F361 601 19310 SH SOLE None 0 0 19310 WISDOMTREE TR US EARNINGS 500 97717W588 608 18609 SH SOLE None 0 0 18609 ISHARES TR IBOXX HI YD ETF 464288513 609 7043 SH SOLE None 0 0 7043 INVESCO EXCHANGE TRADED FD T FINL PFD ETF 46137V621 627 34491 SH SOLE None 0 0 34491 INVESCO EXCHNG TRADED FD TR PFD ETF 46138E511 629 43945 SH SOLE None 0 0 43945 ISHARES TR S&P SML 600 GWT 464287887 645 3196 SH SOLE None 0 0 3196 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 650 23568 SH SOLE None 0 0 23568 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 651 12752 SH SOLE None 0 0 12752 INVESCO EXCHNG TRADED FD TR CEF INM COMPSI 46138E404 674 29569 SH SOLE None 0 0 29569 SPDR SERIES TRUST NUV HGHYLD MUN 78464A284 683 12134 SH SOLE None 0 0 12134 ALPHABET INC CAP STK CL A 02079K305 683 566 SH SOLE None 0 0 566 VANGUARD INDEX FDS SM CP VAL ETF 922908611 691 4955 SH SOLE None 0 0 4955 SPDR SERIES TRUST PORTFOLIO AGRGTE 78464A649 698 25174 SH SOLE None 0 0 25174 FACEBOOK INC CL A 30303M102 724 4405 SH SOLE None 0 0 4405 FORD MTR CO DEL COM PAR $0.01 345370860 729 78773 SH SOLE None 0 0 78773 INVESCO EXCHNG TRADED FD TR KBW HIG DV YLD 46138E610 745 32701 SH SOLE None 0 0 32701 SPDR SERIES TRUST PORTFOLIO LR ETF 78464A854 767 22513 SH SOLE None 0 0 22513 FIRST TR EXCHANGE 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458140100 1098 23212 SH SOLE None 0 0 23212 GENERAL ELECTRIC CO COM 369604103 1101 97484 SH SOLE None 0 0 97484 BANK AMER CORP COM 060505104 1114 37801 SH SOLE None 0 0 37801 ISHARES TR MIN VOL USA ETF 46429B697 1122 19666 SH SOLE None 0 0 19666 TARGET CORP COM 87612E106 1145 12976 SH SOLE None 0 0 12976 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 1171 24208 SH SOLE None 0 0 24208 SYSCO CORP COM 871829107 1173 16017 SH SOLE None 0 0 16017 PEPSICO INC COM 713448108 1185 10596 SH SOLE None 0 0 10596 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 1185 23446 SH SOLE None 0 0 23446 ISHARES TR S&P 500 GRWT ETF 464287309 1245 7027 SH SOLE None 0 0 7027 WALMART INC COM 931142103 1302 13863 SH SOLE None 0 0 13863 VERIZON COMMUNICATIONS INC COM 92343V104 1307 24479 SH SOLE None 0 0 24479 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 1318 11750 SH SOLE None 0 0 11750 BED BATH & BEYOND INC COM 075896100 1356 90391 SH SOLE None 0 0 90391 FIRST TR NASDAQ100 TECH INDE SHS 337345102 1368 17233 SH SOLE None 0 0 17233 WASTE MGMT INC DEL COM 94106L109 1369 15151 SH SOLE None 0 0 15151 SPDR SER TR PRTFLO S&P500 HI 78468R788 1374 36621 SH SOLE None 0 0 36621 SPDR GOLD TRUST GOLD SHS 78463V107 1413 12528 SH SOLE None 0 0 12528 SPDR SER TR BLOOMBERG SRT TR 78468R408 1420 51478 SH SOLE None 0 0 51478 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1424 11616 SH SOLE None 0 0 11616 PNC FINL SVCS GROUP INC COM 693475105 1424 10453 SH SOLE None 0 0 10453 LEAR CORP COM NEW 521865204 1424 9819 SH SOLE None 0 0 9819 SPDR SER TR PORTFOLIO SM ETF 78468R853 1426 42887 SH SOLE None 0 0 42887 ISHARES TR CORE HIGH DV ETF 46429B663 1518 16764 SH SOLE None 0 0 16764 NVIDIA CORP COM 67066G104 1519 5406 SH SOLE None 0 0 5406 MKS INSTRUMENT INC COM 55306N104 1522 18984 SH SOLE None 0 0 18984 MCKESSON CORP COM 58155Q103 1531 11543 SH SOLE None 0 0 11543 ISHARES TR MICRO-CAP ETF 464288869 1554 14616 SH SOLE None 0 0 14616 ISHARES TR EAFE SML CP ETF 464288273 1579 25349 SH SOLE None 0 0 25349 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1610 58640 SH SOLE None 0 0 58640 SANDERSON FARMS INC COM 800013104 1624 15713 SH SOLE None 0 0 15713 MICRON TECHNOLOGY INC COM 595112103 1656 36606 SH SOLE None 0 0 36606 CINCINNATI FINL CORP COM 172062101 1661 21618 SH SOLE None 0 0 21618 3M CO COM 88579Y101 1671 7932 SH SOLE None 0 0 7932 STERICYCLE INC COM 858912108 1716 29236 SH SOLE None 0 0 29236 COSTCO WHSL CORP NEW COM 22160K105 1722 7330 SH SOLE None 0 0 7330 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 1759 23203 SH SOLE None 0 0 23203 MACYS INC COM 55616P104 1762 50720 SH SOLE None 0 0 50720 AFFILIATED MANAGERS GROUP COM 008252108 1771 12956 SH SOLE None 0 0 12956 U S CONCRETE INC COM NEW 90333L201 1778 38769 SH SOLE None 0 0 38769 FREEPORT-MCMORAN INC CL B 35671D857 1779 127784 SH SOLE None 0 0 127784 MATTEL INC COM 577081102 1784 113649 SH SOLE None 0 0 113649 LOUISIANA PAC CORP COM 546347105 1795 67746 SH SOLE None 0 0 67746 AMERICAN AIRLS GROUP INC COM 02376R102 1820 44047 SH SOLE None 0 0 44047 AFLAC INC COM 001055102 1825 38777 SH SOLE None 0 0 38777 BANK NEW YORK MELLON CORP COM 064058100 1829 35867 SH SOLE None 0 0 35867 ENNIS INC COM 293389102 1850 90453 SH SOLE None 0 0 90453 HFF INC CL A 40418F108 1855 43663 SH SOLE None 0 0 43663 ALAMO GROUP INC COM 011311107 1872 20437 SH SOLE None 0 0 20437 COHERENT INC COM 192479103 1887 10961 SH SOLE None 0 0 10961 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1911 24446 SH SOLE None 0 0 24446 AMAZON COM INC COM 023135106 1943 970 SH SOLE None 0 0 970 INNOVIVA INC COM 45781M101 2035 133557 SH SOLE None 0 0 133557 ORACLE CORP COM 68389X105 2049 39734 SH SOLE None 0 0 39734 CLOROX CO DEL COM 189054109 2065 13732 SH SOLE None 0 0 13732 AUTOMATIC DATA PROCESSING IN COM 053015103 2068 13724 SH SOLE None 0 0 13724 INTERDIGITAL INC COM 45867G101 2079 25984 SH SOLE None 0 0 25984 AVX CORP NEW COM 002444107 2143 118728 SH SOLE None 0 0 118728 AUTOZONE INC COM 053332102 2155 2778 SH SOLE None 0 0 2778 CONOCOPHILLIPS COM 20825C104 2168 28009 SH SOLE None 0 0 28009 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 2189 60714 SH SOLE None 0 0 60714 FIRST TR EXCHANGE TRADED FD DJ INTERNT IDX 33733E302 2199 15539 SH SOLE None 0 0 15539 ISHARES TR CORE US AGGBD ET 464287226 2203 20881 SH SOLE None 0 0 20881 FIRST TR EXCH TRADED FD III RIVRFRNT DY ASIA 33739P509 2223 38933 SH SOLE None 0 0 38933 UNITED THERAPEUTICS CORP DEL COM 91307C102 2245 17554 SH SOLE None 0 0 17554 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2260 15101 SH SOLE None 0 0 15101 ISHARES TR MSCI EAFE ETF 464287465 2283 33584 SH SOLE None 0 0 33584 VANGUARD INDEX FDS MID CAP ETF 922908629 2330 14194 SH SOLE None 0 0 14194 EXPRESS SCRIPTS HLDG CO COM 30219G108 2334 24570 SH SOLE None 0 0 24570 HUMANA INC COM 444859102 2356 6960 SH SOLE None 0 0 6960 COCA COLA CO COM 191216100 2380 51518 SH SOLE None 0 0 51518 FIRST TR EXCH TRADED FD III RIVR FRNT DYN 33739P707 2392 38368 SH SOLE None 0 0 38368 VANGUARD INDEX FDS SMALL CP ETF 922908751 2414 14848 SH SOLE None 0 0 14848 SSGA ACTIVE ETF TR MULT ASS RLRTN 78467V103 2424 91596 SH SOLE None 0 0 91596 ISHARES TR CORE MSCI EAFE 46432F842 2425 37846 SH SOLE None 0 0 37846 CHEVRON CORP NEW COM 166764100 2500 20444 SH SOLE None 0 0 20444 ISHARES TR RUSSELL 2000 ETF 464287655 2510 14894 SH SOLE None 0 0 14894 INVESCO QQQ TR UNIT SER 1 46090E103 2528 13605 SH SOLE None 0 0 13605 UNITED TECHNOLOGIES CORP COM 913017109 2541 18175 SH SOLE None 0 0 18175 MEDTRONIC PLC SHS G5960L103 2551 25931 SH SOLE None 0 0 25931 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 2670 23610 SH SOLE None 0 0 23610 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 2672 18752 SH SOLE None 0 0 18752 ISHARES TR NATIONAL MUN ETF 464288414 2707 25078 SH SOLE None 0 0 25078 DISNEY WALT CO COM DISNEY 254687106 2721 23271 SH SOLE None 0 0 23271 FIRST TR EXCH TRADED FD III RIVRFRNT DYN DEV 33739P608 2792 45188 SH SOLE None 0 0 45188 FIRST TR EXCH TRADED FD III RIVRFRNT DYN EUR 33739P806 2802 44276 SH SOLE None 0 0 44276 NUCOR CORP COM 670346105 2824 44515 SH SOLE None 0 0 44515 FIRST TR EXCHANGE TRADED FD DORSEY WRT 5 ETF 33738R605 2824 91406 SH SOLE None 0 0 91406 FIRST TR SML CP CORE ALPHA F COM SHS 33734Y109 3028 43914 SH SOLE None 0 0 43914 EXXON MOBIL CORP COM 30231G102 3100 36459 SH SOLE None 0 0 36459 INTERCEPT PHARMACEUTICALS IN COM 45845P108 3372 26688 SH SOLE None 0 0 26688 PFIZER INC COM 717081103 3509 79617 SH SOLE None 0 0 79617 ISHARES TR CORE S&P MCP ETF 464287507 3575 17760 SH SOLE None 0 0 17760 FIRST TR LRG CP VL ALPHADEX COM SHS 33735J101 3603 66550 SH SOLE None 0 0 66550 ALTRIA GROUP INC COM 02209S103 3611 59869 SH SOLE None 0 0 59869 DUKE ENERGY CORP NEW COM NEW 26441C204 3696 46184 SH SOLE None 0 0 46184 AMERICAN ELEC PWR INC COM 025537101 3937 55544 SH SOLE None 0 0 55544 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 4227 52395 SH SOLE None 0 0 52395 DOWDUPONT INC COM 26078J100 4590 71374 SH SOLE None 0 0 71374 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 4870 118782 SH SOLE None 0 0 118782 MCDONALDS CORP COM 580135101 5147 30769 SH SOLE None 0 0 30769 ISHARES TR RUS 1000 GRW ETF 464287614 5226 33506 SH SOLE None 0 0 33506 ISHARES TR GRWT ALLOCAT ETF 464289867 5298 117385 SH SOLE None 0 0 117385 APPLE INC COM 037833100 5317 23553 SH SOLE None 0 0 23553 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 5512 70637 SH SOLE None 0 0 70637 VANGUARD INDEX FDS VALUE ETF 922908744 5628 50848 SH SOLE None 0 0 50848 ISHARES TR FLTG RATE NT ETF 46429B655 5794 113557 SH SOLE None 0 0 113557 CONSOLIDATED EDISON INC COM 209115104 5849 76769 SH SOLE None 0 0 76769 PROCTER AND GAMBLE CO COM 742718109 6169 74120 SH SOLE None 0 0 74120 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 6220 117353 SH SOLE None 0 0 117353 EMERSON ELEC CO COM 291011104 6257 81707 SH SOLE None 0 0 81707 VANGUARD INDEX FDS GROWTH ETF 922908736 6319 39241 SH SOLE None 0 0 39241 ISHARES TR CORE S&P SCP ETF 464287804 6332 72579 SH SOLE None 0 0 72579 VANGUARD GROUP DIV APP ETF 921908844 6586 59496 SH SOLE None 0 0 59496 ISHARES TR MSCI EMG MKT ETF 464287234 7189 167496 SH SOLE None 0 0 167496 JOHNSON & JOHNSON COM 478160104 7256 52512 SH SOLE None 0 0 52512 AT&T INC COM 00206R102 7260 216192 SH SOLE None 0 0 216192 ISHARES TR AGGRES ALLOC ETF 464289859 7307 133751 SH SOLE None 0 0 133751 MICROSOFT CORP COM 594918104 7918 69232 SH SOLE None 0 0 69232 ISHARES TR S&P US PFD STK 464288687 7936 213745 SH SOLE None 0 0 213745 ABBVIE INC COM 00287Y109 8019 84783 SH SOLE None 0 0 84783 SPDR S&P 500 ETF TR TR UNIT 78462F103 8380 28825 SH SOLE None 0 0 28825 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 9058 209339 SH SOLE None 0 0 209339 ISHARES TR IBOXX INV CP ETF 464287242 11628 101176 SH SOLE None 0 0 101176 ISHARES TR CORE S&P500 ETF 464287200 16691 57020 SH SOLE None 0 0 57020