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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
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US8,045$541.0K<0.1%+8,045New–
HUMHumana IncStock1,223$542.0K<0.1%−504−29.2%ReducedHistory
TCOMTrip.com Group LtdADS15,302$543.0K<0.1%−1,514−9.0%ReducedHistory
Advisorshares Tr00768Y453PURE US CANN ETF13,571$543.0K<0.1%+2,991+28.3%Added–
BUDAnheuser-Busch InBev SA/NVADR7,554$544.0K<0.1%+664+9.6%AddedHistory
First Tr Energy Income & Gro33738G104COM37,527$544.0K<0.1%+6,856+22.4%Added–
BAXBaxter International IncStock6,781$546.0K<0.1%−214−3.1%ReducedHistory
SPDR Series Trust78464A714ST STR SP RETAIL5,612$546.0K<0.1%−320−5.4%Reduced–
ESTCElastic N.V.ORD SHS3,755$547.0K<0.1%+3,755NewHistory
GPCGenuine Parts CoStock4,341$549.0K<0.1%+1,176+37.2%AddedHistory
iShares Tr464288869MICRO-CAP ETF3,601$550.0K<0.1%+3,601New–
SCHWSchwab Charles CorpStock7,561$551.0K<0.1%+7,561NewHistory
DSLDoubleLine Income Solutions FundCOM30,710$556.0K<0.1%+870+2.9%AddedHistory
NICENICE Ltd.SPONSORED ADR2,255$558.0K<0.1%+1,038+85.3%AddedHistory
Fidelity Merrimack STR Tr316188101CORP BOND ETF10,032$559.0K<0.1%−1,264−11.2%Reduced–
TJXTJX Companies IncStock8,303$560.0K<0.1%−86−1.0%ReducedHistory
Flexshares Tr33939L829INT QLTDVDYNAM18,023$560.0K<0.1%+18,023New–
NEANuveen AMT-Free Quality Municipal Income FundCOM35,851$563.0K<0.1%+874+2.5%AddedHistory
MANUManchester United plcORD CL A37,049$563.0K<0.1%+3,747+11.3%AddedHistory
WisdomTree Tr97717Y691CLOUD COMPUTNG10,067$563.0K<0.1%+5,557+123.2%Added–
STMPStamps.com IncCOM NEW2,828$566.0K<0.1%+224+8.6%AddedHistory
WisdomTree Tr97717W505US MIDCAP DIVID13,518$567.0K<0.1%+11+0.1%Added–
iShares Tr464288158SHRT NAT MUN ETF5,269$568.0K<0.1%+2,568+95.1%Added–
Mag Silver Corp55903Q104COM27,176$569.0K<0.1%+16,494+154.4%Added–
PBIPitney Bowes IncCOM65,429$574.0K<0.1%+2,359+3.7%AddedHistory
CHYCalamos Convertible & High Income FundCOM SHS35,179$574.0K<0.1%+2,058+6.2%AddedHistory
Global X FDS37950E127REIT ETF58,036$574.0K<0.1%+5,215+9.9%Added–
MPCMarathon Petroleum CorpStock9,563$578.0K<0.1%−297−3.0%ReducedHistory
SPGIS&P Global Inc.Stock1,407$578.0K<0.1%+401+39.9%AddedHistory
Schwab Fundamental International Equity ETF808524755ETF17,369$578.0K<0.1%+17,369New–
VSTOVista Outdoor Inc.COM12,487$578.0K<0.1%+1,618+14.9%AddedHistory
Alpha Architect ETF Tr02072L862MERLYN AI SECTOR20,770$579.0K<0.1%+270+1.3%Added–
BCEBce IncCOM NEW11,787$581.0K<0.1%−177−1.5%ReducedHistory
TEAMAtlassian CorpCL A2,261$581.0K<0.1%+2,261NewHistory
PLUGPlug Power IncStock17,082$584.0K<0.1%+871+5.4%AddedHistory
CLFCleveland-Cliffs Inc.COM27,324$589.0K<0.1%+27,324NewHistory
ADIAnalog Devices IncStock3,426$590.0K<0.1%−127−3.6%ReducedHistory
DRNADicerna Pharmaceuticals IncCOM15,800$590.0K<0.1%+6,940+78.3%AddedHistory
ECLEcolab Inc.Stock2,870$591.0K<0.1%+768+36.5%AddedHistory
Vanguard Mortgage-Backed Securities ETF92206C771ETF11,096$592.0K<0.1%−39−0.4%Reduced–
IVZInvesco Ltd.Stock22,196$593.0K<0.1%−308,937−93.3%ReducedHistory
SICPSilvergate Capital CorpCL A5,235$593.0K<0.1%+715+15.8%AddedHistory
LINLinde PLCSHS2,054$594.0K<0.1%+283+16.0%AddedHistory
KGCKinross Gold CorpCOM93,865$596.0K<0.1%+93,865NewHistory
Enable Midstream Partners, LP292480100COM UNIT RP IN65,401$596.0K<0.1%+280+0.4%Added–
RESNResonant IncCOM185,800$596.0K<0.1%−6,000−3.1%ReducedHistory
ETF Ser Solutions26922A289DEFIANCE CONNECT15,707$598.0K<0.1%+3,935+33.4%Added–
RPMRPM International IncCOM6,799$603.0K<0.1%−550−7.5%ReducedHistory
DGXQuest Diagnostics IncCOM4,566$603.0K<0.1%−91−2.0%ReducedHistory
MCHPMicrochip Technology IncStock4,035$604.0K<0.1%+294+7.9%AddedHistory
RCLRoyal Caribbean Cruises LtdCOM7,119$607.0K<0.1%−213−2.9%ReducedHistory
CAGConagra Brands Inc.Stock16,701$608.0K<0.1%+3,220+23.9%AddedHistory
State Street SPDR S&P Semiconductor ETF78464A862ETF3,171$610.0K<0.1%−1,518−32.4%Reduced–
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT11,173$611.0K<0.1%−861−7.2%Reduced–
GDVGabelli Dividend & Income TrustCOM23,342$614.0K<0.1%+199+0.9%AddedHistory
AGFirst Majestic Silver CorpCOM38,925$615.0K<0.1%+25,732+195.0%AddedHistory
BSETBassett Furniture Industries IncCOM25,280$616.0K<0.1%−1,052−4.0%ReducedHistory
DFSDiscover Financial ServicesCOM5,207$616.0K<0.1%+2,720+109.4%AddedHistory
WRKWestRock CoCOM11,597$617.0K<0.1%+2,862+32.8%AddedHistory
BTGB2GOLD CorpCOM147,633$622.0K<0.1%+107,267+265.7%AddedHistory
First Tr Exch Traded FD III33739P202EME MRK BD ETF17,876$623.0K<0.1%+17,876New–
YETIYETI Holdings, Inc.COM6,802$625.0K<0.1%+1,454+27.2%AddedHistory
First Tr Exchange Traded FD33738R688S&P INTL DIVID34,446$625.0K<0.1%+5,298+18.2%Added–
iShares Tr46435G243ESG AWRE 1 5 YR24,042$626.0K<0.1%+15,155+170.5%Added–
KOFCoca Cola Femsa SAB de CVSPONS ADS REP11,845$627.0K<0.1%−1,553−11.6%ReducedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST30,443$627.0K<0.1%−174,917−85.2%Reduced–
WECWec Energy Group, Inc.Stock7,079$630.0K<0.1%+261+3.8%AddedHistory
Alps ETF Tr00162Q858SECTR DIV DOGS11,934$632.0K<0.1%+3,091+35.0%Added–
OTISOtis Worldwide CorpStock7,795$637.0K<0.1%+1,663+27.1%AddedHistory
CHTRCharter Communications, Inc.CL A885$639.0K<0.1%−2−0.2%ReducedHistory
GLBEGlobal-E Online Ltd.SHS11,200$639.0K<0.1%+11,200NewHistory
Vanguard Consumer Staples ETF92204A207ETF3,554$649.0K<0.1%+163+4.8%Added–
First Tr Exchange Traded FD33738R704RBA INDL ETF15,848$650.0K<0.1%+15,848New–
MGNXMacrogenics IncCOM24,200$650.0K<0.1%+14,650+153.4%AddedHistory
ALBAlbemarle CorpStock3,877$653.0K<0.1%+1,546+66.3%AddedHistory
iShares Tr464288760US AER DEF ETF5,961$653.0K<0.1%−104−1.7%Reduced–
Vanguard World FD921910873MEGA CAP INDEX4,286$653.0K<0.1%−9,575−69.1%Reduced–
BIPCBrookfield Infrastructure CorpCOM SB VTG SHS A8,674$654.0K<0.1%+156+1.8%AddedHistory
iShares Tr464288521CRE U S REIT ETF11,234$655.0K<0.1%−287−2.5%Reduced–
MCMoelis & CoCL A11,533$656.0K<0.1%+3,184+38.1%AddedHistory
Amplify Blockchain Technology ETF032108607ETF13,774$657.0K<0.1%−128,386−90.3%Reduced–
RIORio Tinto PLCADR7,864$660.0K<0.1%+1,946+32.9%AddedHistory
MGAMagna International IncCOM7,123$660.0K<0.1%+4,688+192.5%AddedHistory
FASTFastenal CoStock12,712$661.0K<0.1%−93−0.7%ReducedHistory
MKCMcCormick & Co IncStock7,481$661.0K<0.1%−7,777−51.0%ReducedHistory
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM42,875$661.0K<0.1%−2,578−5.7%ReducedHistory
SPDR Series Trust78468R556SP O&G EXPL PRO6,854$663.0K<0.1%+1,874+37.6%Added–
MELIMercadolibre IncCOM427$665.0K<0.1%+192+81.7%AddedHistory
EXASExact Sciences CorpCOM5,350$665.0K<0.1%+1,511+39.4%AddedHistory
iShares Tr464287192US TRSPRTION2,567$668.0K<0.1%+753+41.5%Added–
EXPEExpedia Group, Inc.Stock4,090$670.0K<0.1%+382+10.3%AddedHistory
Invesco Exch Traded FD Tr II46138E800CHINA TECHNLGY7,968$671.0K<0.1%+7,968New–
HZNPHorizon Therapeutics Public Ltd CoSHS7,163$671.0K<0.1%−203−2.8%ReducedHistory
SPLKSplunk IncCOM4,652$673.0K<0.1%+624+15.5%AddedHistory
SPDR Series Trust78464A581ST STR SP HCEQ5,233$676.0K<0.1%+303+6.1%Added–
TWTRTwitter, Inc.COM9,830$676.0K<0.1%−4,759−32.6%ReducedHistory
LZBLa-Z-Boy IncCOM18,266$677.0K<0.1%+975+5.6%AddedHistory
MSCIMSCI Inc.Stock1,274$679.0K<0.1%+8+0.6%AddedHistory
iShares Tr464288208MRGSTR MD CP ETF10,185$683.0K<0.1%+741+7.8%AddedConverted for a 4-for-1 split–
Osi ETF Tr67110P704OSHS GBL INTER11,962$683.0K<0.1%−1,021−7.9%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