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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
GEVOGevo, Inc.COM PAR26,200$190.0K<0.1%−100−0.4%ReducedHistory
NADNuveen Quality Municipal Income FundCOM11,945$191.0K<0.1%+537+4.7%AddedHistory
FHNFirst Horizon CorpCOM11,288$195.0K<0.1%+11,288NewHistory
Tenneco Inc880349105CL A VTG COM STK10,271$198.0K<0.1%−6,150−37.5%Reduced–
MDCSekisui House U.S., Inc.COM3,957$200.0K<0.1%+3,957NewHistory
GWWW.W. Grainger, Inc.Stock461$202.0K<0.1%+461NewHistory
iShares Inc464286319EM MKTS DIV ETF5,203$202.0K<0.1%−5,152−49.8%Reduced–
ROADConstruction Partners, Inc.COM CL A6,429$202.0K<0.1%+6,429NewHistory
SNYSanofiSPONSORED ADR3,833$202.0K<0.1%+3,833NewHistory
RIOTRiot Platforms, Inc.COM5,372$202.0K<0.1%+5,372NewHistory
CACICACI International IncCL A792$202.0K<0.1%+792NewHistory
TSLXSixth Street Specialty Lending, Inc.COM9,094$202.0K<0.1%+9,094NewHistory
Invesco Actively Managed ETF46090C305EMGRING MKTS503,478$202.0K<0.1%+3,478New–
ABRArbor Realty Trust IncCOM11,418$203.0K<0.1%+1,243+12.2%AddedHistory
FTVFortive CorpStock2,921$204.0K<0.1%+2+0.1%AddedHistory
iShares U S ETF Tr46431W705INT RT HDG C B2,113$204.0K<0.1%−25−1.2%Reduced–
ARCBArcbest CorpCOM3,499$204.0K<0.1%+3,499NewHistory
ASHAshland Inc.COM2,330$204.0K<0.1%+10.0%AddedHistory
iShares Tr464288844US OIL EQ&SV ETF13,328$204.0K<0.1%+1,569+13.3%Added–
RXTRackspace Technology, Inc.COM10,400$204.0K<0.1%−650−5.9%ReducedHistory
SCCOSouthern Copper CorpStock3,194$205.0K<0.1%+3,194NewHistory
DXCMDexcom IncCOM479$205.0K<0.1%−137−22.2%ReducedHistory
ETF Ser Solutions26922A784APTUS DRAWDOWN5,156$205.0K<0.1%+5,156New–
STMSTMicroelectronics N.V.NY REGISTRY5,639$205.0K<0.1%−291−4.9%ReducedHistory
CVNACarvana Co.CL A678$205.0K<0.1%−284−29.5%ReducedHistory
CDMOAvid Bioservices, Inc.COM8,000$205.0K<0.1%+8,000NewHistory
TPLTexas Pacific Land CorpStock128$206.0K<0.1%−5−3.8%ReducedHistory
ProShares Tr74347B169ONLINE RTL ETF2,548$206.0K<0.1%−479−15.8%Reduced–
VanEck Vectors ETF Tr92189H839SOCIAL SENTIMENT7,745$207.0K<0.1%+7,745New–
Innovator U.S. Equity Power Buffer ETF - October45782C797ETF7,158$208.0K<0.1%−606−7.8%Reduced–
SLRCSLR Investment Corp.COM11,176$208.0K<0.1%+29+0.3%AddedHistory
BEAMBeam Therapeutics Inc.COM1,616$208.0K<0.1%+1,616NewHistory
DOCHealthpeak Properties, Inc.COM6,275$209.0K<0.1%−646−9.3%ReducedHistory
BFHBread Financial Holdings, Inc.COM2,005$209.0K<0.1%+77+4.0%AddedHistory
EEFTEuronet Worldwide, Inc.COM1,544$209.0K<0.1%+1,544NewHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT32,845$209.0K<0.1%−872−2.6%ReducedHistory
Swedish Expt CR Corp870297801ROG TTL ETN 2232,985$209.0K<0.1%+7,224+28.0%Added–
Innovator ETFs Trust45782C466GRWT100 PWR BF5,171$210.0K<0.1%−1,016−16.4%Reduced–
iShares Tr46428951110+ YR INVST GRD2,986$210.0K<0.1%−292−8.9%Reduced–
GRWGGrowGeneration Corp.COM4,369$210.0K<0.1%+4,369NewHistory
RYRoyal Bank of CanadaStock2,081$211.0K<0.1%+2,081NewHistory
BIGGQFormer BL Stores IncCOM3,197$211.0K<0.1%+27+0.9%AddedHistory
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF5,297$212.0K<0.1%+5,297New–
GPNGlobal Payments IncStock1,132$212.0K<0.1%−87−7.1%ReducedHistory
iShares Inc46434G822MSCI JAPAN ETF3,146$212.0K<0.1%+3,146New–
GSGiShares S&P GSCI Commodity-Indexed TrustUNIT BEN INT13,202$212.0K<0.1%+13,202NewHistory
iShares Inc464286822MSCI MEXICO ETF4,407$212.0K<0.1%−5,880−57.2%Reduced–
BCXBlackRock Resources & Commodities Strategy TrustSHS22,518$212.0K<0.1%+2,521+12.6%AddedHistory
RSReliance, Inc.COM1,406$212.0K<0.1%+1,406NewHistory
JCIJohnson Controls International plcStock3,105$213.0K<0.1%−312−9.1%ReducedHistory
SPDR Series Trust78468R200ST STR RATE ETF6,987$214.0K<0.1%+37+0.5%Added–
MGNIMagnite, Inc.COM6,345$215.0K<0.1%−10,934−63.3%ReducedHistory
CRSRCorsair Gaming, Inc.COM6,444$215.0K<0.1%+6,444NewHistory
SOSSOS LtdSPNSORD ADS NEW65,090$215.0K<0.1%+43,990+208.5%AddedHistory
FPFFirst Trust Intermediate Duration Preferred & Income FundCOM8,582$216.0K<0.1%+8,582NewHistory
BLFSBiolife Solutions IncCOM NEW4,850$216.0K<0.1%+4,850NewHistory
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY26,840$216.0K<0.1%+26,840New–
VanEck ETF Trust92189F429PREFERRED SECURT10,148$217.0K<0.1%+10,148New–
iShares U S ETF Tr46431W648U.S. TECH INDEPD3,951$217.0K<0.1%+3,951New–
iShares Inc464286392MSCI WORLD ETF1,718$218.0K<0.1%−750−30.4%Reduced–
SPDR Series Trust78464A755ST STR SP METAL5,071$218.0K<0.1%−11,125−68.7%Reduced–
Flexshares Tr33939L860QUALT DIVD IDX3,887$218.0K<0.1%−166−4.1%Reduced–
Fidelity Covington Trust316092790QLTY FCTOR ETF4,408$218.0K<0.1%−61−1.4%Reduced–
JPINuveen Preferred Securities & Income Opportunities FundCOM8,550$218.0K<0.1%00.0%UnchangedHistory
LTCLTC Properties IncREIT5,691$219.0K<0.1%+325+6.1%AddedHistory
Global X FDS37954Y657US PFD ETF8,386$219.0K<0.1%−12,022−58.9%Reduced–
Therapeutics Acquisition Cor88339T103COM CL A21,315$219.0K<0.1%−60−0.3%Reduced–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT55,101$220.0K<0.1%+14,227+34.8%AddedHistory
CWHCamping World Holdings, Inc.CL A5,370$220.0K<0.1%+5,370NewHistory
NXHNeighborhood Intelligence, Inc.COM2,390$220.0K<0.1%−2,005−45.6%ReducedHistory
MNSTMonster Beverage CorpCOM2,422$221.0K<0.1%+2,422NewHistory
KIOKKR Income Opportunities FundCOM13,253$221.0K<0.1%+128+1.0%AddedHistory
Global X Uranium ETF37954Y871ETF10,563$224.0K<0.1%+10,563New–
MRSHMarsh & McLennan Companies, Inc.Stock1,593$224.0K<0.1%−283−15.1%ReducedHistory
RQICohen & Steers Quality Income Realty Fund IncCEF14,271$224.0K<0.1%−383−2.6%ReducedHistory
QFINQfin Holdings, Inc.AMERICAN DEP5,350$224.0K<0.1%+5,350NewHistory
FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCCOM9,882$225.0K<0.1%+1,098+12.5%AddedHistory
Innovator ETFs Trust45782C516EMRGNG MKT JAN7,234$225.0K<0.1%−513−6.6%Reduced–
iShares Tr464289479CORE LT USDB ETF3,108$225.0K<0.1%−511−14.1%Reduced–
ZZillow Group, Inc.CL C CAP STK1,840$225.0K<0.1%+1,840NewHistory
First Tr Exchange-Traded FD33737A108NASDQ CLN EDGE2,437$226.0K<0.1%+2,437New–
NXPINXP Semiconductors N.V.COM1,099$226.0K<0.1%+1,099NewHistory
BYDBoyd Gaming CorpCOM3,676$226.0K<0.1%+210+6.1%AddedHistory
BGSB&G Foods, Inc.COM6,879$226.0K<0.1%−6,108−47.0%ReducedHistory
NAVINavient CorpCOM11,707$226.0K<0.1%+11,707NewHistory
iShares Tr46435U432IBONDS DEC 258,087$226.0K<0.1%+901+12.5%Added–
TTCToro CoCOM2,067$227.0K<0.1%−14−0.7%ReducedHistory
AVKAdvent Convertible & Income FundCOM11,767$227.0K<0.1%00.0%UnchangedHistory
iShares Tr46435G318IBONDS DEC20238,698$227.0K<0.1%+698+8.7%Added–
iShares Tr46435U697IBONDS DEC8,406$227.0K<0.1%+665+8.6%Added–
BNSBank of Nova ScotiaCOM3,502$228.0K<0.1%+255+7.9%AddedHistory
OVVOvintiv Inc.COM7,233$228.0K<0.1%+7,233NewHistory
COUPCoupa Software IncCOM870$228.0K<0.1%+870NewHistory
LPXLouisiana-Pacific CorpCOM3,798$229.0K<0.1%+3,798NewHistory
MASMasco CorpCOM3,906$230.0K<0.1%−466−10.7%ReducedHistory
iShares Tr464288182MSCI AC ASIA ETF2,436$230.0K<0.1%−274−10.1%Reduced–
DKSDick's Sporting Goods, Inc.Stock2,305$231.0K<0.1%+2,305NewHistory
Cambria ETF Tr132061201SHSHLD YIELD ETF3,614$231.0K<0.1%+3,614New–
VanEck ETF Trust92189H805RARE EARTH AND S2,747$233.0K<0.1%+2,747New–
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,075$234.0K<0.1%+75+0.8%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