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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
LUMNLumen Technologies, Inc.Stock25,581$348.0K<0.1%+1,679+7.0%AddedHistory
Vanguard Intl Equity Index F922042866FTSE PACIFIC ETF4,233$348.0K<0.1%+7+0.2%Added–
SHAKShake Shack Inc.CL A3,263$349.0K<0.1%+3,263NewHistory
EIXEdison InternationalStock6,048$350.0K<0.1%+2,523+71.6%AddedHistory
Nushares ETF Tr67092P607NUVEEN ESG SMLCP7,751$350.0K<0.1%+7,751New–
UAUnder Armour, Inc.CL C18,871$350.0K<0.1%+18,871NewHistory
TAPMolson Coors Beverage CoCL B6,542$351.0K<0.1%−200−3.0%ReducedHistory
AMAntero Midstream CorpStock33,875$352.0K<0.1%+180+0.5%AddedHistory
iShares Core MSCI Europe ETF46434V738ETF6,155$353.0K<0.1%+554+9.9%Added–
VMIValmont Industries IncCOM1,496$353.0K<0.1%−283−15.9%ReducedHistory
PLDPrologis, Inc.REIT2,958$354.0K<0.1%+212+7.7%AddedHistory
TRTNTriton International LtdCL A6,764$354.0K<0.1%−9,977−59.6%ReducedHistory
iShares Inc464286400MSCI BRAZIL ETF8,770$356.0K<0.1%+8,770New–
ANSSAnsys IncCOM1,027$356.0K<0.1%−195−16.0%ReducedHistory
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF9,701$357.0K<0.1%+1,087+12.6%Added–
State Street SPDR Portfolio Short Term Corporate Bond ETF78464A474ETF11,459$359.0K<0.1%+2,114+22.6%Added–
PSAPublic StorageCOM1,193$359.0K<0.1%+95+8.7%AddedHistory
Ssga Active ETF Tr78467V848ST STR TOTAL ETF7,414$359.0K<0.1%+710+10.6%Added–
Abrdn ETFs003261104BBRG ALL COMD K113,637$360.0K<0.1%+392+3.0%Added–
CTASCintas CorpStock944$361.0K<0.1%+28+3.1%AddedHistory
DBLDoubleLine Opportunistic Credit FundCOM18,028$362.0K<0.1%+27+0.1%AddedHistory
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS16,177$362.0K<0.1%+341+2.2%AddedHistory
ZGNXZogenix, Inc.COM NEW21,035$363.0K<0.1%−800−3.7%ReducedHistory
SAMBoston Beer Co IncCL A357$364.0K<0.1%+29+8.8%AddedHistory
GLWCorning IncCOM8,912$365.0K<0.1%−26−0.3%ReducedHistory
CRSPCRISPR Therapeutics AGNAMEN AKT2,263$366.0K<0.1%+2,263NewHistory
CCChemours CoStock10,557$367.0K<0.1%−3,821−26.6%ReducedHistory
AALAmerican Airlines Group Inc.Stock17,354$368.0K<0.1%−10,668−38.1%ReducedHistory
JWNNordstrom IncStock10,078$369.0K<0.1%−350−3.4%ReducedHistory
First Tr Exchange Traded FD33738R878DORSEY WRIGHT10,214$371.0K<0.1%+132+1.3%Added–
Invesco Exchange Traded FD T46137V746LARG CAP GRO ETF4,976$371.0K<0.1%+35+0.7%Added–
SPDR Series Trust78464A516ST INTL BBG ETF12,646$371.0K<0.1%+2,762+27.9%Added–
Flexshares Tr33939L662HIG YLD VL ETF7,415$372.0K<0.1%+545+7.9%Added–
ULTAUlta Beauty, Inc.Stock1,079$373.0K<0.1%+3+0.3%AddedHistory
QRVOQorvo, Inc.Stock1,908$373.0K<0.1%+230+13.7%AddedHistory
CAHCardinal Health IncStock6,535$373.0K<0.1%+2,371+56.9%AddedHistory
iShares Tr464287549EXPND TEC SC ETF922$373.0K<0.1%+33+3.7%Added–
NARIInari Medical, Inc.Stock4,025$375.0K<0.1%−100−2.4%ReducedHistory
TFCTruist Financial CorpCOM6,757$375.0K<0.1%−277−3.9%ReducedHistory
BXMTBlackstone Mortgage Trust, Inc.COM CL A11,822$377.0K<0.1%−1,179−9.1%ReducedHistory
iShares Inc464286533MSCI EMERG MRKT5,897$378.0K<0.1%−1,849−23.9%Reduced–
FTNTFortinet, Inc.Stock1,596$380.0K<0.1%−170−9.6%ReducedHistory
SNOWSnowflake Inc.Stock1,570$380.0K<0.1%+435+38.3%AddedHistory
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL3,679$380.0K<0.1%−350−8.7%Reduced–
MFCManulife Financial CorpCOM19,289$380.0K<0.1%−998−4.9%ReducedHistory
iShares Tr464287325GLOB HLTHCRE ETF4,582$381.0K<0.1%−1,765−27.8%Reduced–
TNDMTandem Diabetes Care IncCOM NEW3,907$381.0K<0.1%−234−5.7%ReducedHistory
BRBroadridge Financial Solutions, Inc.Stock2,362$382.0K<0.1%+296+14.3%AddedHistory
BWBabcock & Wilcox Enterprises, Inc.COM48,500$382.0K<0.1%−13,700−22.0%ReducedHistory
SPHSuburban Propane Partners LPUNIT LTD PARTN24,918$382.0K<0.1%+6,279+33.7%AddedHistory
Invesco Exchange Traded FD T46137V191S&P MDCP400 VL4,176$384.0K<0.1%+4,176New–
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN10011,145$384.0K<0.1%−2,675−19.4%Reduced–
RGRSturm Ruger & Co IncStock4,286$386.0K<0.1%+1,151+36.7%AddedHistory
ECPGEncore Capital Group IncCOM8,153$386.0K<0.1%+414+5.3%AddedHistory
FUTUFutu Holdings LtdSPON ADS CL A2,162$387.0K<0.1%−188−8.0%ReducedHistory
VODVodafone Group Public Ltd CoADR22,647$388.0K<0.1%+1,937+9.4%AddedHistory
EFREaton Vance Senior Floating-Rate TrustCOM27,424$388.0K<0.1%+159+0.6%AddedHistory
PHGKoninklijke Philips NVNY REGIS SHS NEW7,808$388.0K<0.1%+111+1.4%AddedHistory
BSCLBILI Social International, Inc.BULSHS 2021 CB18,409$388.0K<0.1%−102,674−84.8%ReducedHistory
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF1,343$390.0K<0.1%+77+6.1%Added–
ZSZscaler, Inc.Stock1,804$390.0K<0.1%+245+15.7%AddedHistory
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF7,782$391.0K<0.1%+1,204+18.3%Added–
WisdomTree Tr97717W844GLOB EX US QU FD9,393$391.0K<0.1%00.0%UnchangedConverted for a 2-for-1 split–
URIUnited Rentals, Inc.COM1,227$391.0K<0.1%−41−3.2%ReducedHistory
CUZCousins Properties IncCOM NEW10,682$393.0K<0.1%−1,299−10.8%ReducedHistory
SPDR Ser Tr78464A813S&P 600 SML CAP4,035$394.0K<0.1%+239+6.3%Added–
ICEIntercontinental Exchange, Inc.Stock3,324$395.0K<0.1%+1,278+62.5%AddedHistory
SWBISmith & Wesson Brands, Inc.COM11,389$395.0K<0.1%+1,370+13.7%AddedHistory
Fidelity Covington Trust316092352BLUE CHIP GRWTH12,110$395.0K<0.1%+12,110New–
iShares MSCI India ETF46429B598ETF8,942$396.0K<0.1%−165−1.8%Reduced–
BHKBlackRock Core Bond TrustSHS BEN INT23,995$396.0K<0.1%+4,290+21.8%AddedHistory
Dimensional ETF Trust25434V401US EQUI MARK ETF8,416$397.0K<0.1%+8,416New–
BTIBritish American Tobacco p.l.c.SPONSORED ADR10,141$399.0K<0.1%−600−5.6%ReducedHistory
Churchill Capital Corp IV171439102CL A13,844$399.0K<0.1%+13,844New–
Innovator ETFs Tr45783Y509GROWTH ACCELE14,241$399.0K<0.1%+14,241New–
NCLHNorwegian Cruise Line Holdings Ltd.SHS13,590$400.0K<0.1%−1,825−11.8%ReducedHistory
EDITEditas Medicine, Inc.COM7,061$400.0K<0.1%+7,061NewHistory
ALLEAllegion plcORD SHS2,889$402.0K<0.1%+136+4.9%AddedHistory
ZGZillow Group, Inc.CL A3,283$402.0K<0.1%−26−0.8%ReducedHistory
Nuveen Diversified Divid & I6706EP105COM38,765$403.0K<0.1%+436+1.1%Added–
SEDGSolaredge Technologies, Inc.COM1,463$404.0K<0.1%−166−10.2%ReducedHistory
ATOAtmos Energy CorpCOM4,214$405.0K<0.1%+1,398+49.6%AddedHistory
YUMYum Brands IncStock3,542$407.0K<0.1%−44−1.2%ReducedHistory
Advisorshares Tr00768Y438Q DYNAMIC GROWTH14,450$407.0K<0.1%+1,950+15.6%Added–
Liberty Media Corp531229409COM A SIRIUSXM8,736$407.0K<0.1%+8,736New–
AEVAAeva Technologies, Inc.COM38,770$410.0K<0.1%+38,770NewHistory
UPBDUpbound Group, Inc.COM7,773$413.0K<0.1%+3,807+96.0%AddedHistory
LEGLeggett & Platt IncStock7,982$414.0K<0.1%+462+6.1%AddedHistory
WisdomTree Tr97717W703INTL EQUITY FD7,595$414.0K<0.1%−5,305−41.1%Reduced–
FBCFlagstar Bancorp IncCOM PAR .0019,824$415.0K<0.1%−2,036−17.2%ReducedHistory
iShares Tr464288703MRNING SM CP ETF7,096$417.0K<0.1%+7,096New–
SKTTanger Inc.COM22,182$418.0K<0.1%+55+0.2%AddedHistory
STRLSterling Infrastructure, Inc.COM17,350$419.0K<0.1%+1,050+6.4%AddedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP8,566$419.0K<0.1%+336+4.1%AddedHistory
SYBTStock Yards Bancorp, Inc.COM8,272$421.0K<0.1%00.0%UnchangedHistory
WYWeyerhaeuser CoCOM NEW12,272$422.0K<0.1%+389+3.3%AddedHistory
First Tr Exchange-Traded FD33733A201DOW 30 EQL WGT13,768$422.0K<0.1%+314+2.3%Added–
Ssga Active ETF Tr78467V608ST STR BL LN ETF9,165$424.0K<0.1%+9,165New–
ORLYO Reilly Automotive IncStock751$425.0K<0.1%+32+4.5%AddedHistory
HLTHilton Worldwide Holdings Inc.COM3,533$426.0K<0.1%+3,533NewHistory

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