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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
CSQCalamos Strategic Total Return FundCOM SH BEN INT23,403$426.0K<0.1%+701+3.1%AddedHistory
ALLYAlly Financial Inc.Stock8,576$427.0K<0.1%+513+6.4%AddedHistory
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD16,281$428.0K<0.1%+364+2.3%Added–
CGCCanopy Growth CorpCOM17,716$428.0K<0.1%−1,607−8.3%ReducedHistory
GENGen Digital Inc.Stock15,743$429.0K<0.1%−8,433−34.9%ReducedHistory
First Tr Exchange-Traded FD33739Q507SSI STRG ETF8,342$430.0K<0.1%+20.0%Added–
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT7,767$431.0K<0.1%−4,826−38.3%ReducedHistory
iShares Tr46435G268RUSEL 2500 ETF6,502$431.0K<0.1%+6,502New–
MUABlackRock Muniassets Fund, Inc.COM25,652$433.0K<0.1%+3,064+13.6%AddedHistory
SNDXSyndax Pharmaceuticals IncCOM25,240$433.0K<0.1%−200−0.8%ReducedHistory
STLDSteel Dynamics IncCOM7,263$433.0K<0.1%−203−2.7%ReducedHistory
SMGScotts Miracle-Gro CoStock2,262$434.0K<0.1%−277−10.9%ReducedHistory
First Tr Exch TRD Alphdx FD33737J174DEV MRK EX US6,930$434.0K<0.1%+1,025+17.4%Added–
CMAComerica IncCOM6,118$436.0K<0.1%−277−4.3%ReducedHistory
iShares Tr46435U713US INFRASTRUC12,405$438.0K<0.1%+4,329+53.6%Added–
Fidelity Covington Trust316092832DIVID ETF RISI10,367$438.0K<0.1%+1,931+22.9%Added–
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF6,514$440.0K<0.1%+1,771+37.3%Added–
SRESempraStock3,320$440.0K<0.1%−27−0.8%ReducedHistory
ENPHEnphase Energy, Inc.Stock2,399$441.0K<0.1%+390+19.4%AddedHistory
XXII22nd Century Group, Inc.COM95,600$443.0K<0.1%+78,050+444.7%AddedHistory
HIGHartford Insurance Group, Inc.Stock7,157$444.0K<0.1%−1,083−13.1%ReducedHistory
Vanguard BD Index FDS921937793LONG TERM BOND4,311$444.0K<0.1%+311+7.8%Added–
Exchange Traded Concepts Tru301505889EMQQ EME MAR ETF7,022$445.0K<0.1%−31,513−81.8%Reduced–
IEXIdex CorpCOM2,027$446.0K<0.1%−19−0.9%ReducedHistory
Invesco S&P 500 Quality ETF46137V241ETF9,242$449.0K<0.1%+16+0.2%Added–
UPSTUpstart Holdings, Inc.COM3,616$452.0K<0.1%+3,616NewHistory
TLRYTilray Brands, Inc.COM CL 224,986$452.0K<0.1%+11,231+81.7%AddedHistory
FISVFiserv IncStock4,239$453.0K<0.1%−6,096−59.0%ReducedHistory
Global X FDS37954Y442CLOUD COMPUTNG15,884$453.0K<0.1%−494−3.0%Reduced–
USOUnited States Oil Fund, LPUNITS9,105$454.0K<0.1%−97−1.1%ReducedHistory
BLEBlackRock Municipal Income Trust IICOM28,810$454.0K<0.1%+28,810NewHistory
Royal Dutch Shell PLC780259206SPONS ADR A11,249$454.0K<0.1%+791+7.6%Added–
Global X FDS37954Y434GENOMIC BIOTECH18,296$455.0K<0.1%+18,296New–
SSRMSSR Mining Inc.Stock29,259$456.0K<0.1%+29,259NewHistory
IRBTiRobot CorpCOM4,884$456.0K<0.1%+3,134+179.1%AddedHistory
GNLGlobal Net Lease, Inc.COM NEW24,754$458.0K<0.1%−2,799−10.2%ReducedHistory
PEGPublic Service Enterprise Group IncCOM7,672$458.0K<0.1%+261+3.5%AddedHistory
NKLANikola CorpCOM25,371$458.0K<0.1%+2,854+12.7%AddedHistory
Invesco Exchange Traded FD T46137V837DORS WRI MOM ETF5,168$463.0K<0.1%−26−0.5%Reduced–
ELMEElme CommunitiesSH BEN INT20,155$464.0K<0.1%+10,185+102.2%AddedHistory
KHCKraft Heinz CoStock11,395$465.0K<0.1%−1,473−11.4%ReducedHistory
DYDycom Industries IncCOM6,236$465.0K<0.1%−153−2.4%ReducedHistory
TLKPerusahaan Perseroan Persero PT Telekomunikasi Indonesia TBKSPONSORED ADR21,507$466.0K<0.1%+1,906+9.7%AddedHistory
iShares Tr46435G342MORTGE REL ETF12,610$468.0K<0.1%+331+2.7%Added–
STXSeagate Technology Holdings plcORD SHS5,322$468.0K<0.1%+1,310+32.7%AddedHistory
SPDR Series Trust78468R739ST NUVE TERM ETF9,484$470.0K<0.1%+3,807+67.1%Added–
Invesco Exchange Traded FD T46137V266S&P500 PUR GWT2,556$471.0K<0.1%−331−11.5%Reduced–
INMDInMode Ltd.SHS4,978$471.0K<0.1%−994−16.6%ReducedHistory
CMLSQCumulus Media IncCOM CL A32,273$473.0K<0.1%−1,089−3.3%ReducedHistory
Invesco Exch Traded FD Tr II46138G672S&P MDCP 400 REV5,370$475.0K<0.1%+5,370New–
TSCOTractor Supply CoCOM2,557$476.0K<0.1%+435+20.5%AddedHistory
PIMCO Active Bond Exchange-Traded Fund72201R775ETF4,301$477.0K<0.1%−2,342−35.3%Reduced–
iShares Select U.S. REIT ETF464287564ETF7,315$478.0K<0.1%+1,898+35.0%Added–
ETSYEtsy IncCOM2,331$480.0K<0.1%−648−21.8%ReducedHistory
iShares Tr464288737GLB CNSM STP ETF7,871$481.0K<0.1%−542−6.4%Reduced–
SQMChemical & Mining Co of Chile IncSPON ADR SER B10,192$482.0K<0.1%−8,101−44.3%ReducedHistory
MFICMidCap Financial Investment CorpCOM NEW35,284$482.0K<0.1%+4,523+14.7%AddedHistory
Healthcare Realty Trust Inc42225P501CL A NEW18,057$482.0K<0.1%+631+3.6%Added–
SNBRQSleep Number CorpCOM4,437$488.0K<0.1%−30,366−87.3%ReducedHistory
IBNIcici Bank LtdADR28,608$489.0K<0.1%−2,834−9.0%ReducedHistory
WisdomTree Tr97717W786INTL DIV EX FINL11,302$489.0K<0.1%+1,252+12.5%Added–
CMGChipotle Mexican Grill IncCOM316$490.0K<0.1%+5+1.6%AddedHistory
CHGGChegg, IncCOM5,941$494.0K<0.1%+150+2.6%AddedHistory
Alps Clean Energy ETF00162Q460ETF6,544$496.0K<0.1%+106+1.6%Added–
Innovator ETFs Trust45782C748US EQTY PWR BUF15,968$496.0K<0.1%+15,968New–
Vanguard Industrials ETF92204A603ETF2,528$497.0K<0.1%+809+47.1%Added–
OFSOFS Capital CorpCOM50,329$501.0K<0.1%+5,061+11.2%AddedHistory
State Street SPDR Portfolio S&P 500 ETF78464A854ETF9,983$502.0K<0.1%+922+10.2%Added–
iShares Tr464288752US HOME CONS ETF7,265$503.0K<0.1%−952−11.6%Reduced–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF8,321$504.0K<0.1%+168+2.1%Added–
FSLRFirst Solar, Inc.Stock5,584$505.0K<0.1%−108−1.9%ReducedHistory
CHDChurch & Dwight Co IncCOM5,943$506.0K<0.1%−522−8.1%ReducedHistory
IDCCInterDigital, Inc.COM6,922$506.0K<0.1%−179−2.5%ReducedHistory
ETF Managers Tr26924G201PRIME CYBR SCRTY8,336$506.0K<0.1%+1,002+13.7%Added–
Nuveen PFD & Incm Securties67072C105COM50,904$507.0K<0.1%−16,245−24.2%Reduced–
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF3,836$508.0K<0.1%+110+3.0%Added–
RABrookfield Real Assets Income Fund Inc.SHS BEN INT23,255$509.0K<0.1%+10,057+76.2%AddedHistory
CTRACoterra Energy Inc.Stock29,276$511.0K<0.1%+4,746+19.3%AddedHistory
CALYCallaway Golf CoCOM15,146$511.0K<0.1%+350+2.4%AddedHistory
WisdomTree Tr97717W604US SMALLCAP DIVD16,094$513.0K<0.1%−5,815−26.5%Reduced–
SNAPSnap IncStock7,570$516.0K<0.1%−1,463−16.2%ReducedHistory
Global X FDS37954Y293GLB X MLP ENRG I14,225$517.0K<0.1%+251+1.8%Added–
New Gold Inc Cda644535106COM285,749$517.0K<0.1%+285,749New–
GATOGatos Silver, Inc.COM29,619$518.0K<0.1%+15,775+113.9%AddedHistory
First Tr Exch Traded FD III33739P830SHRT DUR MNG MUN24,843$519.0K<0.1%+3,435+16.0%Added–
TSNTyson Foods, Inc.Stock7,056$521.0K<0.1%−639−8.3%ReducedHistory
Flexshares Tr33939L670CRE SLCT BD FD19,830$523.0K<0.1%+675+3.5%Added–
RVTRoyce Small-Cap Trust, Inc.COM27,633$524.0K<0.1%+345+1.3%AddedHistory
ETF Managers Tr26924G102PRIME JUNIR SLVR34,546$525.0K<0.1%+8,032+30.3%Added–
WTRGEssential Utilities, Inc.COM11,532$527.0K<0.1%−925−7.4%ReducedHistory
BDRYAmplify Commodity TrustBREAKWAVE DRY18,086$531.0K<0.1%+18,086NewHistory
CHWCalamos Global Dynamic Income FundCOM48,568$532.0K<0.1%+5,000+11.5%AddedHistory
Nushares ETF Tr67092P409NUVEEN ESG MIDCP9,738$532.0K<0.1%+1,984+25.6%Added–
Hoegh LNG Partners LPY3262R100COM UNIT LTD30,265$532.0K<0.1%+181+0.6%Added–
MMYTMakeMyTrip LtdStock17,818$535.0K<0.1%−1,153−6.1%ReducedHistory
OKEONEOK IncCOM9,641$536.0K<0.1%+1,364+16.5%AddedHistory
BMBLBumble Inc.COM CL A9,309$536.0K<0.1%+9,309NewHistory
Invesco Exch TRD SLF Idx FD46138J684BULLSHS 21 USD21,555$537.0K<0.1%−4,263−16.5%Reduced–
JHGJanus Henderson Group Ltd.ORD SHS13,881$539.0K<0.1%−2,301−14.2%ReducedHistory
iShares Tr464289875CORE 40 MODE ETF11,980$540.0K<0.1%−330−2.7%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