Skip to main content

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
FCELFuelcell Energy IncCOM32,429$289.0K<0.1%+6,093+23.1%AddedHistory
ATRAptargroup, Inc.Stock2,056$290.0K<0.1%−160−7.2%ReducedHistory
CCSCentury Communities, Inc.COM4,370$291.0K<0.1%+4,370NewHistory
UTGReaves Utility Income FundCOM SH BEN INT8,519$292.0K<0.1%+109+1.3%AddedHistory
ASOAcademy Sports & Outdoors, Inc.COM7,071$292.0K<0.1%+7,071NewHistory
DRIDarden Restaurants IncCOM2,009$293.0K<0.1%+291+16.9%AddedHistory
DDOGDatadog, Inc.CL A COM2,815$293.0K<0.1%+2,815NewHistory
iShares Tr46435U192GENOMICS IMMUN5,633$293.0K<0.1%−344−5.8%Reduced–
Advisorshares Tr00768Y495PURE CANNABIS13,886$293.0K<0.1%+13,886New–
NTGTortoise Midstream Energy Fund, Inc.COM9,784$293.0K<0.1%−238−2.4%ReducedHistory
VanEck ETF Trust92189H201INTRMDT MUNI ETF5,685$295.0K<0.1%+1,110+24.3%Added–
WBSWebster Financial CorpCOM5,525$295.0K<0.1%00.0%UnchangedHistory
SPDR Index Shs FDS78463X202ST STR EU 50 ETF6,304$295.0K<0.1%+1,198+23.5%Added–
STWDStarwood Property Trust, Inc.COM11,264$295.0K<0.1%+246+2.2%AddedHistory
YAlleghany CorpCOM442$295.0K<0.1%−4−0.9%ReducedHistory
Osi ETF Tr67110P407OSHARES US QUALT7,019$295.0K<0.1%−1,753−20.0%Reduced–
STORStore Capital LLCCOM8,539$295.0K<0.1%+69+0.8%AddedHistory
NUSNu Skin Enterprises, Inc.CL A5,228$296.0K<0.1%−24−0.5%ReducedHistory
AGNCAGNC Investment Corp.REIT17,610$297.0K<0.1%+245+1.4%AddedHistory
ESGREnstar Group LTDSHS1,245$297.0K<0.1%−145−10.4%ReducedHistory
AZTAAzenta, Inc.COM3,124$298.0K<0.1%+118+3.9%AddedHistory
REIRing Energy, Inc.COM100,000$298.0K<0.1%00.0%UnchangedHistory
BGFVBig 5 Sporting Goods CorpCOM11,613$298.0K<0.1%+804+7.4%AddedHistory
HOGHarley-Davidson, Inc.COM6,529$299.0K<0.1%+920+16.4%AddedHistory
AXSAxis Capital Holdings LtdSHS6,130$300.0K<0.1%+458+8.1%AddedHistory
BENFranklin Templeton IncCOM9,372$300.0K<0.1%+1,093+13.2%AddedHistory
Cambria ETF Tr132061821CANNABIS ETF16,539$300.0K<0.1%+16,539New–
KKRKKR & Co. Inc.COM5,076$301.0K<0.1%+4+0.1%AddedHistory
SESea LtdSPONSORD ADS1,097$301.0K<0.1%+1,097NewHistory
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM26,176$302.0K<0.1%+1,241+5.0%AddedHistory
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,275$303.0K<0.1%−312−5.6%Reduced–
Innovator ETFs Trust45782C409US EQTY BUFR JAN8,451$303.0K<0.1%−250−2.9%Reduced–
WisdomTree Tr97717X511YIELD ENHANCD US5,806$303.0K<0.1%−45,105−88.6%Reduced–
First Tr Exchange-Traded FD33739Q309HIGH INCM STRGC6,058$305.0K<0.1%+68+1.1%Added–
GNWGenworth Financial IncCOM SHS78,312$305.0K<0.1%+9,960+14.6%AddedHistory
JEFJefferies Financial Group Inc.COM8,961$306.0K<0.1%+8,961NewHistory
Invesco Exchange Traded FD T46137V738LARGE CAP VALUE6,895$306.0K<0.1%+224+3.4%Added–
CPECallon Petroleum CoCOM5,306$306.0K<0.1%+5,306NewHistory
KEYKeycorpCOM14,883$307.0K<0.1%−393−2.6%ReducedHistory
WDCWestern Digital CorpCOM4,315$307.0K<0.1%−308−6.7%ReducedHistory
OGNOrganon & Co.Stock10,167$308.0K<0.1%+10,167NewHistory
SPDR Series Trust78468R721STATE STREET SPD5,917$308.0K<0.1%−1,937−24.7%Reduced–
EVVEaton Vance Ltd Duration Income FundCOM23,258$308.0K<0.1%−587−2.5%ReducedHistory
VUZIVuzix CorpCOM NEW16,795$308.0K<0.1%−1,081−6.0%ReducedHistory
PBCTPeople's United Financial, Inc.COM17,959$308.0K<0.1%−2,897−13.9%ReducedHistory
Dimensional U.S. Targeted Value ETF25434V609ETF6,902$309.0K<0.1%+6,902New–
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF5,921$309.0K<0.1%+1,114+23.2%Added–
KDPKeurig Dr Pepper Inc.COM8,793$310.0K<0.1%−287−3.2%ReducedHistory
PDPagerDuty, Inc.COM7,305$311.0K<0.1%+7,305NewHistory
XIFRXPLR Infrastructure, LPCOM UNIT PART IN4,076$311.0K<0.1%+691+20.4%AddedHistory
CDWCDW CorpCOM1,795$314.0K<0.1%−64−3.4%ReducedHistory
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX27,546$314.0K<0.1%−6,881−20.0%Reduced–
UTFCohen & Steers Infrastructure Fund IncCOM10,962$315.0K<0.1%+1,143+11.6%AddedHistory
Atlantica Sustainable Infr PG0751N103SHS8,479$316.0K<0.1%+655+8.4%Added–
CBChubb LtdStock2,008$319.0K<0.1%+2,008NewHistory
INTUIntuit Inc.Stock650$319.0K<0.1%−116−15.1%ReducedHistory
First Tr Exchange Traded FD33741X102SMID RISNG ETF10,995$320.0K<0.1%+1,105+11.2%Added–
TSITCW Strategic Income Fund IncCOM54,068$320.0K<0.1%−3,344−5.8%ReducedHistory
TTETotalEnergies SESPONSORED ADS7,067$320.0K<0.1%+1,120+18.8%AddedHistory
American Centy ETF Tr025072802INTL SMCP VLU4,960$321.0K<0.1%+1,598+47.5%Added–
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS10,953$322.0K<0.1%+10,953NewHistory
Innovator ETFs Trust45782C813US EQTY PWR BUF10,863$322.0K<0.1%+10,863New–
RHRHCOM476$323.0K<0.1%+26+5.8%AddedHistory
VRTXVertex Pharmaceuticals IncStock1,607$324.0K<0.1%+390+32.0%AddedHistory
BKNGBooking Holdings Inc.Stock147$324.0K<0.1%−7−4.5%ReducedHistory
DELLDell Technologies Inc.Stock3,276$327.0K<0.1%+206+6.7%AddedHistory
OCOwens CorningStock3,341$327.0K<0.1%+7+0.2%AddedHistory
PXDPioneer Natural Resources CoCOM2,011$327.0K<0.1%+287+16.6%AddedHistory
PGRProgressive CorpStock3,344$328.0K<0.1%−3,129−48.3%ReducedHistory
FOURShift4 Payments, Inc.CL A3,500$328.0K<0.1%+3,500NewHistory
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM13,286$328.0K<0.1%+151+1.1%AddedHistory
ALKAlaska Air Group, Inc.COM5,464$330.0K<0.1%+5,464NewHistory
Graniteshares ETF Tr38747R108BBG COMMD K 111,642$330.0K<0.1%−6,949−37.4%Reduced–
iShares Tr464288505MRGSTR SM CP ETF5,633$330.0K<0.1%+69+1.2%AddedConverted for a 4-for-1 split–
CICigna GroupStock1,406$333.0K<0.1%+348+32.9%AddedHistory
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM18,383$333.0K<0.1%+783+4.4%AddedHistory
EXPDExpeditors International of Washington IncCOM2,632$333.0K<0.1%−82−3.0%ReducedHistory
HPQHP IncStock11,056$334.0K<0.1%+1,062+10.6%AddedHistory
NGGNational Grid PLCSPONSORED ADR NE5,227$334.0K<0.1%−170−3.1%ReducedHistory
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL2,973$334.0K<0.1%−133−4.3%Reduced–
First Tr Exchange-Traded FD33734X176TECH ALPHADEX2,701$335.0K<0.1%−3,606−57.2%Reduced–
EOGEOG Resources IncStock4,032$336.0K<0.1%+4,032NewHistory
TDYTeledyne Technologies IncCOM803$337.0K<0.1%+803NewHistory
First Tr Exchange Traded FD33741L108DORSY WR MOMNT12,442$338.0K<0.1%00.0%Unchanged–
iShares U.S. Healthcare Providers ETF464288828ETF1,271$339.0K<0.1%+126+11.0%Added–
Global X FDS37954Y848GLOBAL X SILVER7,949$339.0K<0.1%+1,288+19.3%Added–
HOLXHologic IncCOM5,088$339.0K<0.1%+2,170+74.4%AddedHistory
Vanguard Scottsdale FDS92206C706INTER TERM TREAS5,013$340.0K<0.1%−1,190−19.2%Reduced–
TPICQTpi Composites, IncCOM7,017$340.0K<0.1%+7,017NewHistory
iShares U.S. Regional Banks ETF464288778ETF5,928$341.0K<0.1%+336+6.0%Added–
Vanguard Emerging Markets Government Bond ETF921946885ETF4,288$342.0K<0.1%+1,291+43.1%Added–
ICLRIcon PLCCOM1,655$342.0K<0.1%+9+0.5%AddedHistory
Nuveen Tax-Advantaged Divid67073G105COM21,288$342.0K<0.1%+200+0.9%Added–
TIGRUP Fintech Holding LtdSPONSORED ADS11,850$343.0K<0.1%+1,250+11.8%AddedHistory
PANWPalo Alto Networks IncStock928$344.0K<0.1%+44+5.0%AddedHistory
NINisource Inc.COM14,095$345.0K<0.1%+4,069+40.6%AddedHistory
CRCrane CoCOM3,734$345.0K<0.1%+287+8.3%AddedHistory
iShares Tr464287127MORNINGSTR US EQ5,701$346.0K<0.1%00.0%UnchangedConverted for a 4-for-1 split–
TWOU2U, LLCCOM8,304$346.0K<0.1%−325−3.8%ReducedHistory
Amplify ETF Tr032108409CWP ENHANCED DIV9,679$347.0K<0.1%−178−1.8%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