SPDR SER TR

Ticker: CWB CUSIP: 78464A359 Class: BBG CONV SEC ETF

Regal Investment Advisors LLC's Holding History (CIK: 0001559789)

Note: Option positions (PUT/CALL) are excluded.

Q4 2016
Shares 6,176 Value ($000) $282 Avg Close — Range —
Q3 2016
Shares 5,183 Value ($000) $240 Avg Close — Range —
Q2 2016
Shares 7,501 Value ($000) $329 Avg Close — Range —
Q1 2016
Shares 7,520 Value ($000) $325 Avg Close — Range —
Q4 2015
Shares 7,364 Value ($000) $318 Avg Close — Range —
Q3 2015
Shares 8,411 Value ($000) $376 Avg Close — Range —
Q2 2015
Shares 9,115 Value ($000) $433 Avg Close — Range —
Q1 2015
Shares 8,575 Value ($000) $410 Avg Close — Range —
Q3 2014
Shares 236 Value ($000) $12 Avg Close — Range —
Q2 2014
Shares 60 Value ($000) $3 Avg Close — Range —
Q1 2014
Shares 99 Value ($000) $5 Avg Close — Range —
Q4 2013
Shares 98 Value ($000) $5 Avg Close — Range —
Q3 2013
Shares 117 Value ($000) $5 Avg Close — Range —
Q2 2013
Shares 136 Value ($000) $6 Avg Close — Range —