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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q2 2021

Holdings as of Jun 30, 2021, filed Aug 13, 2021. Long positions only; changes compare share counts with Q1 2021.

Institution overview
Positions
1,388
+87 vs. Q1 2021
Portfolio value
$3.33B
+$218.7M (+7.0%) vs. Q1 2021
Filed
Aug 13, 2021
SEC
Holdings of Sigma Planning Corp in Q2 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
AAPLApple Inc.Stock985,877$135.0M4.1%−11,681−1.2%ReducedHistory
iShares Core S&P 500 ETF464287200ETF295,691$127.1M3.8%+8,847+3.1%Added–
AMZNAmazon Com IncStock18,879$64.9M1.9%+73+0.4%AddedHistory
MSFTMicrosoft CorpStock217,462$58.9M1.8%+24,941+13.0%AddedHistory
Invesco QQQ Trust Series I46090E103ETF139,957$49.6M1.5%+25,209+22.0%Added–
SPYSPDR S&P 500 ETF TrustETF105,288$45.1M1.4%−60,056−36.3%ReducedHistory
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF324,409$43.6M1.3%+27,281+9.2%Added–
iShares Core Dividend Growth ETF46434V621ETF762,130$38.4M1.2%+36,437+5.0%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF217,651$37.7M1.1%−4,586−2.1%Reduced–
iShares Core U.S. Aggregate Bond ETF464287226ETF300,594$34.7M1.0%+12,650+4.4%Added–
iShares Core S&P Small Cap ETF464287804ETF303,807$34.3M1.0%+51,325+20.3%Added–
iShares S&P 500 Growth ETF464287309ETF468,796$34.1M1.0%+8,201+1.8%Added–
iShares S&P 500 Value ETF464287408ETF161,397$23.8M0.7%+8,242+5.4%Added–
GLDSPDR Gold TrustETF140,129$23.2M0.7%+47,467+51.2%AddedHistory
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF303,976$23.0M0.7%+67,664+28.6%Added–
iShares Core S&P Mid-Cap ETF464287507ETF85,274$22.9M0.7%+4,861+6.0%Added–
iShares Tr464287150CORE S&P TTL STK230,953$22.8M0.7%+17,110+8.0%Added–
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT146,239$22.0M0.7%+37,210+34.1%Added–
iShares MSCI USA Min Vol Factor ETF46429B697ETF295,353$21.7M0.7%−5,735−1.9%Reduced–
Vanguard S&P 500 ETF922908363ETF53,439$21.0M0.6%−730−1.3%Reduced–
NVDANVIDIA CorpStock25,247$20.2M0.6%+1,999+8.6%AddedHistory
iShares Tr4642874571 3 YR TREAS BD229,590$19.8M0.6%+1,935+0.8%Added–
JPMJPMorgan Chase & CoStock127,042$19.8M0.6%+1,859+1.5%AddedHistory
ARK Innovation ETF00214Q104ETF147,006$19.2M0.6%+16,174+12.4%Added–
METAMeta Platforms, Inc.Stock55,163$19.2M0.6%+1,078+2.0%AddedHistory
DISWalt Disney CoStock106,723$18.8M0.6%+13,955+15.0%AddedHistory
GOOGAlphabet Inc.Stock7,378$18.5M0.6%+67+0.9%AddedHistory
PYPLPayPal Holdings, Inc.Stock62,823$18.3M0.5%+1,687+2.8%AddedHistory
iShares Core MSCI Eafe ETF46432F842ETF235,044$17.6M0.5%+23,492+11.1%Added–
JNJJohnson & JohnsonStock106,221$17.5M0.5%−8,794−7.6%ReducedHistory
iShares Russell 2000 ETF464287655ETF75,172$17.2M0.5%−9,569−11.3%Reduced–
First Tr Exchange-Traded FD33734H106SHS430,264$17.1M0.5%−17,562−3.9%Reduced–
BABoeing CoStock70,874$17.0M0.5%+9,938+16.3%AddedHistory
iShares Core MSCI Emerging Markets ETF46434G103ETF250,012$16.7M0.5%+15,581+6.6%Added–
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD309,372$16.6M0.5%+3,007+1.0%Added–
HDHome Depot, Inc.Stock51,823$16.5M0.5%+3,763+7.8%AddedHistory
Pacer Trendpilot US Bond ETF69374H642ETF565,446$15.7M0.5%+63,916+12.7%Added–
Vanguard Morningstar Value ETF922908744ETF112,156$15.4M0.5%+6,486+6.1%Added–
VVisa Inc.Stock64,444$15.1M0.5%+4,578+7.6%AddedHistory
GOOGLAlphabet Inc.Stock6,119$14.9M0.4%+480+8.5%AddedHistory
VZVerizon Communications IncStock253,846$14.2M0.4%+2,390+1.0%AddedHistory
ABBVAbbVie Inc.Stock123,263$13.9M0.4%+8,588+7.5%AddedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF252,852$13.6M0.4%+12,505+5.2%Added–
ROKURoku, IncCOM CL A29,292$13.5M0.4%+876+3.1%AddedHistory
iShares Tr464288414NATIONAL MUN ETF113,413$13.3M0.4%+4,498+4.1%Added–
TSLATesla, Inc.Stock18,897$12.8M0.4%+148+0.8%AddedHistory
BRK.BBerkshire Hathaway IncStock44,486$12.4M0.4%−1,046−2.3%ReducedHistory
TAT&T Inc.Stock415,408$12.0M0.4%−16,670−3.9%ReducedHistory
iShares U.S. Medical Devices ETF464288810ETF33,008$11.9M0.4%−2,006−5.7%Reduced–
First Trust Dow Jones Internet Index Fund33733E302ETF48,640$11.9M0.4%+2,134+4.6%Added–
iShares S&P Small-Cap 600 Value ETF464287879ETF109,303$11.5M0.3%−13,600−11.1%Reduced–
iShares Tr46432F859CORE 1 5 YR USD224,224$11.5M0.3%+13,518+6.4%Added–
iShares Tips Bond ETF464287176ETF88,373$11.3M0.3%+17,819+25.3%Added–
iShares Tr464288513IBOXX HI YD ETF126,778$11.2M0.3%+10,837+9.3%Added–
PGProcter & Gamble CoStock78,033$10.5M0.3%−4,935−5.9%ReducedHistory
WMTWalmart Inc.Stock72,744$10.3M0.3%−10,985−13.1%ReducedHistory
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF135,740$10.3M0.3%−13,759−9.2%Reduced–
First Tr Exchange-Traded Alp33734K109COM SHS117,410$10.1M0.3%+9,499+8.8%Added–
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL165,097$10.1M0.3%−10,399−5.9%Reduced–
Schwab US Dividend Equity ETF808524797ETF132,866$10.0M0.3%+8,907+7.2%Added–
Schwab U.S. Large-Cap Growth ETF808524300ETF68,057$9.93M0.3%+2,736+4.2%Added–
State Street Industrial Select Sector SPDR ETF81369Y704ETF96,423$9.87M0.3%+1,122+1.2%Added–
FFord Motor CoStock659,595$9.80M0.3%+107,521+19.5%AddedHistory
PFEPfizer IncStock248,280$9.72M0.3%−2,240−0.9%ReducedHistory
Fidelity MSCI Health Care Index ETF316092600ETF151,301$9.64M0.3%−13,012−7.9%Reduced–
iShares S&P Small-Cap 600 Growth ETF464287887ETF72,334$9.59M0.3%−17,985−19.9%Reduced–
State Street Financial Select Sector SPDR ETF81369Y605ETF257,935$9.46M0.3%+30,092+13.2%Added–
ADBEAdobe Inc.Stock16,034$9.39M0.3%+501+3.2%AddedHistory
NEENextera Energy IncStock127,275$9.33M0.3%−19,281−13.2%ReducedHistory
Invesco Exchange Traded FD T46137V639AI AND NEXT GEN55,710$9.18M0.3%−1,242−2.2%Reduced–
Vanguard Morningstar Mid-Cap ETF922908629ETF38,578$9.16M0.3%+238+0.6%Added–
UNHUnitedHealth Group IncStock22,847$9.15M0.3%+635+2.9%AddedHistory
CATCaterpillar IncStock41,057$8.94M0.3%+9,635+30.7%AddedHistory
First Trust Rising Dividend Achievers ETF33738R506ETF185,382$8.91M0.3%+50,648+37.6%Added–
BBWIBath & Body Works, Inc.COM121,828$8.78M0.3%−18,449−13.2%ReducedHistory
XYZBlock, Inc.CL A35,794$8.73M0.3%+5,372+17.7%AddedHistory
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT171,410$8.72M0.3%+37,357+27.9%Added–
CRMSalesforce, Inc.Stock35,493$8.67M0.3%−1,068−2.9%ReducedHistory
NUENucor CorpCOM89,888$8.62M0.3%+75,584+528.4%AddedHistory
State Street Technology Select Sector SPDR ETF81369Y803ETF57,790$8.53M0.3%−1,895−3.2%Reduced–
Vanguard Morningstar Small-Cap ETF922908751ETF37,722$8.50M0.3%+2,270+6.4%Added–
iShares S&P Mid-Cap 400 Value ETF464287705ETF80,411$8.47M0.3%−26,173−24.6%Reduced–
First Tr Exchange-Traded FD33734X853INTL EQUITY OPP120,770$8.26M0.2%+36,608+43.5%Added–
COSTCostco Wholesale CorpStock20,282$8.03M0.2%−2,642−11.5%ReducedHistory
DVNDevon Energy CorpStock273,908$8.00M0.2%+273,908NewHistory
WMWaste Management IncStock56,924$7.98M0.2%+282+0.5%AddedHistory
BACBank of America CorpStock193,429$7.97M0.2%+13,791+7.7%AddedHistory
TGTTarget CorpStock32,823$7.93M0.2%−785−2.3%ReducedHistory
SBUXStarbucks CorpStock69,668$7.79M0.2%−5,243−7.0%ReducedHistory
MOAltria Group, Inc.Stock161,917$7.72M0.2%−2,555−1.6%ReducedHistory
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF101,148$7.64M0.2%−3,514−3.4%Reduced–
iShares MSCI Eafe ETF464287465ETF95,913$7.57M0.2%+8,606+9.9%Added–
UPSUnited Parcel Service IncStock36,220$7.53M0.2%+926+2.6%AddedHistory
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL95,116$7.34M0.2%+91,094+2,264.9%Added–
SHOPShopify Inc.Stock4,957$7.24M0.2%+183+3.8%AddedHistory
XOMExxonMobil Holdings CorpCOM114,637$7.23M0.2%+12,456+12.2%AddedHistory
Schwab U.S. Mid-Cap ETF808524508ETF92,229$7.22M0.2%+79,814+642.9%Added–
COFCapital One Financial CorpStock46,505$7.19M0.2%+44,494+2,212.5%AddedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF32,192$7.17M0.2%+1,181+3.8%Added–
CROXCrocs, Inc.COM61,450$7.16M0.2%+3,079+5.3%AddedHistory

Options (24)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Sigma Planning Corp in Q2 2021
SecurityClassPutsCalls
AMZNAmazon Com IncStock–$5.50M
Invesco QQQ Trust Series I46090E103ETF$3.83M–
GSGoldman Sachs Group IncStock$1.90M–
SPYSPDR S&P 500 ETF TrustETF$985.0K$856.0K
VanEck ETF Trust92189H607OIL SERVICES ETF–$1.42M
TGTTarget CorpStock$1.21M–
AALAmerican Airlines Group Inc.Stock–$848.0K
XUnited States Steel CorpCOM–$734.0K
STEMStem, Inc.CL A–$720.0K
MSFTMicrosoft CorpStock–$623.0K
CRMSalesforce, Inc.Stock–$489.0K
ONOn Semiconductor CorpStock–$478.0K
ROKURoku, IncCOM CL A–$459.0K
Enable Midstream Partners, LP292480100COM UNIT RP IN–$456.0K
GMGeneral Motors CoCOM–$444.0K
DISWalt Disney CoStock–$387.0K
BABoeing CoStock–$311.0K
VEEVVeeva Systems IncStock–$311.0K
BBBLACKBERRY LtdCOM–$263.0K
MUMicron Technology IncStock–$255.0K
SRNESorrento Therapeutics, Inc.COM NEW–$126.0K
SOSSOS LtdSPNSORD ADS NEW–$91.0K
NOKNokia CorpSPONSORED ADR–$53.0K
VHCVirnetX Holding CorpCOM–$51.0K

Sold out since Q1 2021 (101)

Positions held at the end of Q1 2021 that are gone from this filing.

The largest 100 of 101 by value last quarter.

Positions of Sigma Planning Corp sold out since Q1 2021
SecurityClassShares in Q1 2021Value in Q1 2021% of portfolio in Q1 2021History
iShares Tr464288604MRGSTR SM CP GR26,308$7.90M0.3%–
SIVBSVB Financial GroupCOM13,758$6.79M0.2%History
WBDWarner Bros. Discovery, Inc.COM SER A140,268$6.10M0.2%History
VXXBarclays Bank PLCIPTH SR B S&P444,687$5.07M0.2%History
PWRQuanta Services, Inc.COM52,953$4.66M0.1%History
First Tr Exchange Traded FD33738R720NASDQ ARTFCIAL74,374$3.88M0.1%–
MOSMosaic CoCOM122,055$3.86M0.1%History
Victory Portfolios II92647X806VS NASDQ NXT 50103,753$3.28M0.1%–
Vanguard World FD921910733ESG US STK ETF28,499$2.10M0.1%–
FS KKR Cap Corp II35952V303COM62,133$1.21M<0.1%–
Alps ETF Tr00162Q783STRATEGIC INCOME48,456$1.20M<0.1%–
DTDynatrace, Inc.Stock20,117$970.0K<0.1%History
MARAMARA Holdings, Inc.COM19,739$948.0K<0.1%History
Invesco BulletShares 2021 HY Corp (BSJL)46138J809Exchange Traded Fund41,009$946.0K<0.1%–
NUANNuance Communications, Inc.COM20,019$874.0K<0.1%History
DBIDesigner Brands Inc.CL A46,467$809.0K<0.1%History
APIAgora, Inc.ADS16,044$807.0K<0.1%History
MLMMartin Marietta Materials IncCOM2,112$709.0K<0.1%History
WCNWaste Connections, Inc.COM6,310$681.0K<0.1%History
AKAMAkamai Technologies IncCOM6,629$675.0K<0.1%History
FRABlackRock Floating Rate Income Strategies Fund, Inc.COM49,981$650.0K<0.1%History
iShares Inc464286426MSCI EM ASIA ETF6,874$624.0K<0.1%–
Flir Sys Inc302445101COM10,147$573.0K<0.1%–
Star Peak Energy Transition855185104CL A21,238$565.0K<0.1%–
MSTRStrategy IncStock822$558.0K<0.1%History
EBSEmergent BioSolutions Inc.COM5,981$556.0K<0.1%History
SPDR Series Trust78468R887ST STR R2K LOWV4,939$550.0K<0.1%–
ORIOld Republic International CorpCOM25,052$547.0K<0.1%History
SFLSFL Corp Ltd.SHS67,384$540.0K<0.1%History
iShares Esg Aware US Aggregate Bond ETF46435U549ETF9,793$536.0K<0.1%–
ATHMAutohome Inc.SP ADS RP CL A5,606$523.0K<0.1%History
TYLTyler Technologies IncCOM1,141$484.0K<0.1%History
Atlantic Power Corp04878Q863COM NEW161,013$465.0K<0.1%–
GTMZoomInfo Technologies Inc.Stock9,377$459.0K<0.1%History
BlackRock Mun Income Invt Tr09248H105SHS BEN INT29,612$412.0K<0.1%–
SYSo-Young International Inc.SPONSORED ADS41,441$409.0K<0.1%History
HQHabrdn Healthcare InvestorsSH BEN INT16,250$397.0K<0.1%History
CEPLCapstone Energy Plus, Inc.COM41,515$379.0K<0.1%History
CLOVClover Health Investments, Corp.COM CL A49,886$377.0K<0.1%History
WYYWidepoint CorpCOMMON38,700$356.0K<0.1%History
MBIOMustang Bio, Inc.COM89,425$297.0K<0.1%History
iShares Inc46434G772MSCI TAIWAN ETF4,905$294.0K<0.1%–
Innovator ETFs Trust45782C870US EQT PWR BUF10,602$292.0K<0.1%–
JDJD.com, Inc.SPON ADS CL A3,363$284.0K<0.1%History
Global X FDS37954Y285TELMDC&DIG ETF14,740$282.0K<0.1%–
APPNAppian CorpCL A2,095$279.0K<0.1%History
CCDCalamos Dynamic Convertible & Income FundCOM8,705$278.0K<0.1%History
DBDDiebold Nixdorf, IncCOM19,300$273.0K<0.1%History
TMHCTaylor Morrison Home CorpCOM8,800$271.0K<0.1%History
CLGNCollPlant Biotechnologies LtdADS19,700$265.0K<0.1%History
Portage Biotech IncG7185A128COM9,270$259.0K<0.1%–
VanEck ETF Trust92189H300JP MRGAN EM LOC8,394$258.0K<0.1%–
CHWYChewy, Inc.CL A3,038$257.0K<0.1%History
ProShares Tr74347R206PSHS ULTRA QQQ2,182$256.0K<0.1%–
Amplify ETF Tr032108888BLACKSWAN GRWT7,903$253.0K<0.1%–
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW5,438$250.0K<0.1%–
Innovator ETFs Trust45782C508US EQTY PWR BUF7,671$242.0K<0.1%–
PIMCO ETF Tr72201R88225YR+ ZERO U S1,813$239.0K<0.1%–
MAXRMaxar Technologies Inc.COM6,251$236.0K<0.1%History
WUWestern Union COStock9,276$229.0K<0.1%History
HEIHeico CorpCOM1,800$226.0K<0.1%History
ROSTRoss Stores, Inc.COM1,841$221.0K<0.1%History
iShares Tr46429B291A RATE CP BD ETF3,945$219.0K<0.1%–
PFGPrincipal Financial Group IncCOM3,627$218.0K<0.1%History
TCF Finl Corp872307103COM4,623$215.0K<0.1%–
CECelanese CorpStock1,429$214.0K<0.1%History
PAASPan American Silver CorpStock7,132$214.0K<0.1%History
BGBunge Global SACOM2,703$214.0K<0.1%History
HRBH&R Block IncCOM9,769$213.0K<0.1%History
TERTeradyne, IncStock1,742$212.0K<0.1%History
SONYSony Group CorpSPONSORED ADR1,984$210.0K<0.1%History
FVRRFiverr International Ltd.ORD SHS968$210.0K<0.1%History
Etfis Ser Tr I26923G798VIRTUS PVT CR8,969$209.0K<0.1%–
iShares Tr46435G789IBONDS DEC20218,118$209.0K<0.1%–
FFIVF5, Inc.Stock999$208.0K<0.1%History
iShares Tr464288265MSCI KOKUSAI ETF2,356$208.0K<0.1%–
LKQLKQ CorpCOM4,901$207.0K<0.1%History
Nushares ETF Tr67092P300NUVEEN ESG LRGVL5,729$207.0K<0.1%–
Innovator U.S. Equity Power Buffer ETF - September45782C656ETF7,178$206.0K<0.1%–
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE3,569$205.0K<0.1%–
LOGILogitech International S.A.SHS1,951$204.0K<0.1%History
WisdomTree Tr97717W406US AI ENHANCED2,152$203.0K<0.1%–
FUVArcimoto IncCOM14,415$191.0K<0.1%History
HPEHewlett Packard Enterprise CoCOM11,293$178.0K<0.1%History
Eaton Vance 2021 Target TRM27829W101COM SHS BEN INT17,630$173.0K<0.1%–
HMYHarmony Gold Mining Co LtdADR34,653$151.0K<0.1%History
BVNBuenaventura Mining Co IncSPONSORED ADR14,820$149.0K<0.1%History
GFIGold Fields LtdSPONSORED ADR15,583$148.0K<0.1%History
Great Panther MNG Ltd39115V101COM191,279$147.0K<0.1%–
PAAPlains All American Pipeline LPUNIT LTD PARTN12,574$114.0K<0.1%History
KEPKorea Electric Power CorpSPONSORED ADR11,000$113.0K<0.1%History
VIXYProShares Trust IIVIX SH TRM FUTRS11,990$112.0K<0.1%History
KALAKALA BIO, Inc.COM13,700$92.0K<0.1%History
MMTAberdeen Multi-Market Income FundSH BEN INT13,610$88.0K<0.1%History
Affimed N VN01045108COM10,823$86.0K<0.1%–
LVOLiveOne, Inc.COM NEW14,000$61.0K<0.1%History
Voya Prime Rate Tr92913A100SH BEN INT12,884$60.0K<0.1%–
Davidstea Inc238661102COM13,500$51.0K<0.1%–
MIECohen & Steers MLP Income & Energy Opportunity FundCOM SHS15,100$48.0K<0.1%History
LFWDLifeward Ltd.SHS13,050$32.0K<0.1%History