Regal Investment Advisors LLC Closed Holding Positions

Regal Investment Advisors LLC

$1.21 Billion
Q1 2025

Stock	Closed Quarter	Shares Sold	Price Range	Trade History
RDS-A Shell PLC Energy	Q4 2021 Filed on Feb 10, 2022	5,467	$41.59 - $49.44 $227K - $270K
TDSB Exchange Listed Fds Tr Cabana ETFs	Q4 2021 Filed on Feb 10, 2022	15,589	$25.34 - $26.86 $395K - $419K
RCD Invesco ETF Tr S&P 500 Equal W ETFs	Q4 2021 Filed on Feb 10, 2022	8,554	$145.22 - $160.55 $1.24M - $1.37M
Medallia Inc	Q3 2021 Filed on Nov 05, 2021	7,323	N/A
AVDR Avedro Inc Healthcare	Q3 2021 Filed on Nov 05, 2021	8,031	$29.11 - $30.99 $234K - $249K
SPHD Invesco ETF Tr Ii S&P 500 High ETFs	Q3 2021 Filed on Nov 05, 2021	8,649	$42.3 - $44.68 $366K - $386K
SNOW Snowflake Inc. Technology	Q3 2021 Filed on Nov 05, 2021	945	$236.75 - $324.08 $224K - $306K
Pimco Dynamic Cr Income Fd	Q3 2021 Filed on Nov 05, 2021	10,541	N/A
TDOC Teladoc Health, Inc. Healthcare	Q3 2021 Filed on Nov 05, 2021	1,565	$125.92 - $164.64 $197K - $258K
MAR Marriott International Inc Consumer Cyclical	Q3 2021 Filed on Nov 05, 2021	8,373	$130.0 - $154.32 $1.09M - $1.29M
TTWO Take Two Interactive Software Inc Communication Services	Q3 2021 Filed on Nov 05, 2021	5,593	$145.25 - $178.97 $812K - $1M
APPN Appian Corp Technology	Q3 2021 Filed on Nov 05, 2021	1,869	$91.98 - $138.15 $172K - $258K
CXSE Wisdomtree Tr China Ex State O ETFs	Q3 2021 Filed on Nov 05, 2021	3,225	$51.73 - $66.66 $167K - $215K
VGK Vanguard Ftse Europe ETF Ftse ETFs	Q3 2021 Filed on Nov 05, 2021	3,195	$65.5 - $70.6 $209K - $226K
AI C3.Ai, Inc. Technology	Q3 2021 Filed on Nov 05, 2021	3,825	$44.79 - $63.8 $171K - $244K
JD Jd.Com, Inc. Consumer Cyclical	Q3 2021 Filed on Nov 05, 2021	2,743	$62.19 - $83.24 $171K - $228K
BRFS Brf S.A. Consumer Defensive	Q3 2021 Filed on Nov 05, 2021	46,780	$4.22 - $5.3 $197K - $248K
NGVT Ingevity Corp Basic Materials	Q3 2021 Filed on Nov 05, 2021	2,496	$69.6 - $87.31 $174K - $218K
General Electric CO	Q3 2021 Filed on Nov 05, 2021	32,355	N/A
EXG Eaton Vance Tax Managed Global Diversified Equity Income Fund Financial Services	Q3 2021 Filed on Nov 05, 2021	12,409	$9.99 - $10.81 $124K - $134K
SPCE Virgin Galactic Holdings, Inc Industrials	Q3 2021 Filed on Nov 05, 2021	4,890	$22.56 - $52.69 $110K - $258K
KRNT Kornit Digital Ltd. Industrials	Q3 2021 Filed on Nov 05, 2021	1,934	$116.95 - $160.91 $226K - $311K
Donnelley R R & Sons CO	Q3 2021 Filed on Nov 05, 2021	10,259	N/A
KLIC Kulicke & Soffa Industries Inc Technology	Q3 2021 Filed on Nov 05, 2021	5,258	$50.69 - $74.06 $267K - $389K
FNCL Fidelity Covington Tr Msci Fin ETFs	Q3 2021 Filed on Nov 05, 2021	22,826	$50.02 - $55.63 $1.14M - $1.27M
JAZZ Jazz Pharmaceuticals PLC Healthcare	Q3 2021 Filed on Nov 05, 2021	1,801	$128.64 - $184.79 $232K - $333K
FCX Freeport Mcmoran Inc Basic Materials	Q1 2021 Filed on May 12, 2021	500	$25.79 - $38.08 $12.9K - $19K
NUV Nuveen Municipal Value Fund Inc Financial Services	Q1 2021 Filed on May 12, 2021	37,228	$10.93 - $11.76 $407K - $438K
DRI Darden Restaurants Inc Consumer Cyclical	Q1 2021 Filed on May 12, 2021	2,070	$112.1 - $148.98 $232K - $308K
DM Desktop Metal, Inc. Technology	Q1 2021 Filed on May 12, 2021	10,000	$14.45 - $33.5 $145K - $335K
BIV Vanguard Bd Index Fd Inc Inter ETFs	Q1 2021 Filed on May 12, 2021	3,964	$88.61 - $92.83 $351K - $368K
BDCZ Ubs Ag ETFs	Q1 2021 Filed on May 12, 2021	33,103	$16.04 - $18.88 $531K - $625K
SNY Sanofi Healthcare	Q1 2021 Filed on May 12, 2021	11,574	$45.46 - $50.51 $526K - $585K
LULU Lululemon Athletica Inc. Consumer Cyclical	Q1 2021 Filed on May 12, 2021	738	$285.14 - $367.29 $210K - $271K
GVI Ishares Tr ETFs	Q1 2021 Filed on May 12, 2021	1,705	$114.79 - $117.59 $196K - $200K
Federal Rlty Invt Tr	Q1 2021 Filed on May 12, 2021	4,870	N/A
Seagate Technology PLC	Q1 2021 Filed on May 12, 2021	16,699	N/A
GXC Spdr Index Shs Fund Spdr S&P C ETFs	Q1 2021 Filed on May 12, 2021	2,275	$126.98 - $155.61 $289K - $354K
IWN Ishares Russell2000 Val ETF ETFs	Q1 2021 Filed on May 12, 2021	2,320	$130.0 - $169.53 $302K - $393K
RY Royal Bank Of Canada Financial Services	Q1 2021 Filed on May 12, 2021	6,847	$80.87 - $93.73 $554K - $642K
AZN Astrazeneca PLC Healthcare	Q1 2021 Filed on May 12, 2021	300	$47.16 - $54.44 $14.1K - $16.3K
FTSM First Tr Enhanced Traded Fd Iv ETFs	Q1 2021 Filed on May 12, 2021	23,300	$59.97 - $60.06 $1.4M - $1.4M
TAN Invesco ETF Tr Ii Solar ETF ETFs	Q1 2021 Filed on May 12, 2021	3,301	$81.15 - $121.94 $268K - $403K
XES Spdr Ser Tr Spdr S&P Oil & Gas ETFs	Q1 2021 Filed on May 12, 2021	37,653	$45.54 - $65.95 $1.71M - $2.48M
PBP Invesco Exchange Traded Fd Tr ETFs	Q1 2021 Filed on May 12, 2021	15,328	$20.35 - $21.66 $312K - $332K
TD Toronto Dominion Bank Financial Services	Q1 2021 Filed on May 12, 2021	11,304	$56.26 - $66.31 $636K - $750K
NVCR Novo Cure LTD Healthcare	Q1 2021 Filed on May 12, 2021	1,160	$124.11 - $190.17 $144K - $221K
EWT Ishares Inc Msci Taiwan ETF ETFs	Q1 2021 Filed on May 12, 2021	4,005	$53.78 - $60.31 $215K - $242K
PTIN Pacer Fds Tr Trendpilot Intl E ETFs	Q1 2021 Filed on May 12, 2021	29,532	$26.12 - $28.0 $771K - $827K
DON Wisdomtree Tr U.S. Midcap Divi ETFs	Q1 2021 Filed on May 12, 2021	8,374	$34.36 - $41.24 $288K - $345K

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