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Livermore
Livermore
ZHEN

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
POOLPool CorpCOM511$234.0K<0.1%+511NewHistory
Cornerstone Building Brands, Inc.21925D109COM12,870$234.0K<0.1%+12,870New–
PALLabrdn Palladium ETF TrustPHYSICAL PALLADM905$235.0K<0.1%−1,473−61.9%ReducedHistory
HPSJohn Hancock Preferred Income Fund IIICOM12,286$236.0K<0.1%−1,451−10.6%ReducedHistory
IRDMIridium Communications Inc.COM5,932$237.0K<0.1%+5,932NewHistory
CBRLCracker Barrel Old Country Store, IncCOM1,598$237.0K<0.1%−31−1.9%ReducedHistory
Royal Dutch Shell PLC780259107SPON ADR B6,101$237.0K<0.1%−638−9.5%Reduced–
EXRExtra Space Storage Inc.COM1,451$238.0K<0.1%+1,451NewHistory
Invesco Exchange Traded FD T46137V407INVESCO MSCI3,436$238.0K<0.1%+3,436New–
DNPDNP Select Income Fund IncCOM22,760$238.0K<0.1%+2,361+11.6%AddedHistory
Invesco Actively Managed Exc46090A804TOTAL RETURN4,195$239.0K<0.1%+4,195New–
RHPRyman Hospitality Properties, Inc.COM3,056$241.0K<0.1%−200−6.1%ReducedHistory
STAGSTAG Industrial, Inc.COM6,441$241.0K<0.1%+414+6.9%AddedHistory
LITSLite Strategy, Inc.COM NEW84,450$241.0K<0.1%+5,000+6.3%AddedHistory
RGENRepligen CorpCOM1,210$242.0K<0.1%−117−8.8%ReducedHistory
iShares Tr464288430ASIA 50 ETF2,642$242.0K<0.1%−358−11.9%Reduced–
SPDR Index Shs FDS78463X541ST STR NAT ETF4,588$243.0K<0.1%+4,588New–
Flexshares Tr33939L407MORNSTAR UPSTR6,338$243.0K<0.1%+20.0%Added–
Innovator ETFs Tr45783Y608GROWTH ACCELERAT8,750$244.0K<0.1%+8,750New–
Invesco Exchange Traded FD T46137V472S&P MDCP QUALITY3,187$247.0K<0.1%+3,187New–
OMCOmnicom Group Inc.COM3,113$249.0K<0.1%+17+0.5%AddedHistory
Invesco Exchange Traded FD T46137V886DWA STAPLES2,663$249.0K<0.1%+30+1.1%Added–
MCKMcKesson CorpStock1,305$250.0K<0.1%−116−8.2%ReducedHistory
Vanguard Scottsdale FDS92206C714VNG RUS1000VAL3,587$250.0K<0.1%+3,587New–
Invesco Exchange Traded FD T46137V373S&P500 EQL STP1,560$251.0K<0.1%+3+0.2%Added–
CNCCentene CorpStock3,461$252.0K<0.1%−105−2.9%ReducedHistory
iShares Tr464287184CHINA LG-CAP ETF5,449$252.0K<0.1%−419−7.1%Reduced–
Renaissance Cap Greenwich FD759937204IPO ETF3,810$252.0K<0.1%−128−3.3%Reduced–
ETF Ser Solutions26922A388APTUS DEFINED8,531$253.0K<0.1%+8,531New–
BNTXBioNTech SESPONSORED ADS1,135$254.0K<0.1%+1,135NewHistory
MITKMitek Systems IncCOM NEW13,200$254.0K<0.1%+550+4.3%AddedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT12,151$254.0K<0.1%+427+3.6%AddedHistory
iShares Tr46435G755IBONDS DEC20229,690$254.0K<0.1%+706+7.9%Added–
BBIGVinco Ventures, Inc.COM64,370$254.0K<0.1%+64,370NewHistory
American Centy ETF Tr025072877US SML CP VALU3,362$256.0K<0.1%+3,362New–
CORCencora, Inc.Stock2,244$257.0K<0.1%+195+9.5%AddedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF5,843$257.0K<0.1%+5,843New–
BBYBest Buy Co IncStock2,231$257.0K<0.1%+359+19.2%AddedHistory
Farfetch Ltd30744W107ORD SH CL A5,095$257.0K<0.1%−102−2.0%Reduced–
LNTAlliant Energy CorpStock4,634$258.0K<0.1%−29−0.6%ReducedHistory
PHParker-Hannifin CorpStock839$258.0K<0.1%−50−5.6%ReducedHistory
PGNYProgyny, Inc.COM4,371$258.0K<0.1%−569−11.5%ReducedHistory
DOVDOVER CorpCOM1,716$259.0K<0.1%+19+1.1%AddedHistory
ETEnergy Transfer LPCOM UT LTD PTN24,367$259.0K<0.1%−6,694−21.6%ReducedHistory
iShares Inc46434G848MSCI GBL ETF NEW5,726$259.0K<0.1%+5,726New–
First Tr Exchng Traded FD VI33740F763FT VEST US EQT7,130$259.0K<0.1%+902+14.5%Added–
NVAXNovavax IncCOM NEW1,220$259.0K<0.1%+1,220NewHistory
BLMNBloomin' Brands, Inc.COM9,569$260.0K<0.1%−31−0.3%ReducedHistory
Abraxas Pete Corp003830304COM NEW80,490$260.0K<0.1%+250+0.3%Added–
iShares Tr464287770U.S. FIN SVC ETF1,409$261.0K<0.1%−354−20.1%Reduced–
COHRCoherent Corp.COM3,602$261.0K<0.1%+3,602NewHistory
BTZBlackRock Credit Allocation Income TrustCOM16,798$262.0K<0.1%+152+0.9%AddedHistory
LHLabcorp Holdings Inc.COM NEW951$262.0K<0.1%+951NewHistory
CRUSCirrus Logic, Inc.Stock3,090$263.0K<0.1%+459+17.4%AddedHistory
JAZZJazz Pharmaceuticals plcSHS USD1,478$263.0K<0.1%+1,478NewHistory
TRUPTrupanion, Inc.COM2,288$263.0K<0.1%+2,288NewHistory
GFNew Germany Fund IncCOM12,985$263.0K<0.1%+568+4.6%AddedHistory
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG9,572$264.0K<0.1%−3,852−28.7%Reduced–
IRIngersoll Rand Inc.COM5,406$264.0K<0.1%+5,406NewHistory
RTLNecessity Retail REIT, Inc.COM CLASS A31,102$264.0K<0.1%+4,768+18.1%AddedHistory
WisdomTree Tr97717X669US QTLY DIV GRT4,441$265.0K<0.1%−68−1.5%Reduced–
AVOMission Produce, Inc.COM12,790$265.0K<0.1%+12,790NewHistory
MXIMMaxim Integrated Products IncCOM2,513$265.0K<0.1%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER4,983$267.0K<0.1%+4,983New–
LVSLas Vegas Sands CorpCOM5,065$267.0K<0.1%−2,150−29.8%ReducedHistory
FLNAFilana Therapeutics, Inc.COM3,123$267.0K<0.1%+3,123NewHistory
CFCF Industries Holdings, Inc.COM5,211$268.0K<0.1%+74+1.4%AddedHistory
First Tr Exchange-Traded FD33733E807NAT GAS ETF16,396$269.0K<0.1%+16,396New–
Health Assurn Acquisition Co42226W208UNIT 99/99/999925,850$269.0K<0.1%00.0%Unchanged–
AESAES CorpStock10,341$270.0K<0.1%+10,341NewHistory
Fidelity Covington Trust316092824LOW VOLITY ETF5,716$270.0K<0.1%−199−3.4%Reduced–
XYLXylem Inc.COM2,251$270.0K<0.1%−37−1.6%ReducedHistory
VanEck Vectors ETF Tr92189F205STEEL ETF4,356$270.0K<0.1%+4,356New–
First Tr Exchng Traded FD VI33740F748FT VEST US EQT7,521$272.0K<0.1%+7,521New–
FWONALiberty Media CorpCOM SER A FRMLA6,371$272.0K<0.1%+6,371NewHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF15,313$274.0K<0.1%−354−2.3%ReducedHistory
NWLNewell Brands Inc.Stock9,985$274.0K<0.1%+193+2.0%AddedHistory
BDJBlackRock Enhanced Equity Dividend TrustCOM27,091$274.0K<0.1%+342+1.3%AddedHistory
BEPCBrookfield Renewable CorpCL A SUB VTG6,537$274.0K<0.1%−26−0.4%ReducedHistory
BEBloom Energy CorpCOM CL A10,246$275.0K<0.1%+10,246NewHistory
TXRHTexas Roadhouse, Inc.COM2,869$276.0K<0.1%+217+8.2%AddedHistory
RKTRocket Companies, Inc.Stock14,324$277.0K<0.1%+2,672+22.9%AddedHistory
BRSLBrightstar Lottery PLCSHS USD11,557$277.0K<0.1%+11,557NewHistory
PFCPremier Financial CorpCOM9,765$277.0K<0.1%+7+0.1%AddedHistory
iShares Tr46436E569ESG SELECT SCRE8,453$278.0K<0.1%00.0%Unchanged–
EBAYeBay IncCOM3,978$279.0K<0.1%−156−3.8%ReducedHistory
iShares Tr46435U853BROAD USD HIGH6,727$281.0K<0.1%+596+9.7%Added–
LBTYALiberty Global Ltd.SHS CL A10,343$281.0K<0.1%+414+4.2%AddedHistory
Dte Energy Co233331842UNIT 11/01/2022S5,733$283.0K<0.1%00.0%Unchanged–
TXTernium S.A.SPONSORED ADS7,382$284.0K<0.1%+7,382NewHistory
KLACKLA CorpCOM NEW880$285.0K<0.1%+21+2.4%AddedHistory
Amplify ETF Tr032108847CEF HIGH INCOME16,177$285.0K<0.1%+5,052+45.4%Added–
ATOMAtomera IncCOM13,350$286.0K<0.1%−600−4.3%ReducedHistory
FNDFloor & Decor Holdings, Inc.CL A2,718$287.0K<0.1%+505+22.8%AddedHistory
PIMCO ETF Tr72201R817INV GRD CRP BD2,511$287.0K<0.1%+217+9.5%Added–
First Tr Exchange Traded FD33734X770DJ INTL INTRNT6,066$287.0K<0.1%−215−3.4%Reduced–
Innovator ETFs Trust45782C318US EQTY PWR BUF9,784$288.0K<0.1%+9,784New–
SLBSLB LimitedStock9,020$289.0K<0.1%+853+10.4%AddedHistory
Dimensional U.S. Core Equity 2 ETF25434V708ETF10,724$289.0K<0.1%+10,724New–
Innovator ETFs Trust45782C524INTRNL DEV JAN10,812$289.0K<0.1%−1,030−8.7%Reduced–

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