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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Oct 28, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
1,353
−35 vs. Q2 2021
Portfolio value
$3.29B
−$44.3M (−1.3%) vs. Q2 2021
Filed
Oct 28, 2021
SEC
Holdings of Sigma Planning Corp in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
RSReliance, Inc.COM1,414$201.0K<0.1%+8+0.6%AddedHistory
HOLXHologic IncCOM2,724$201.0K<0.1%−2,364−46.5%ReducedHistory
ELEstee Lauder Companies IncCL A673$202.0K<0.1%+673NewHistory
SNYSanofiSPONSORED ADR4,202$203.0K<0.1%+369+9.6%AddedHistory
TAPMolson Coors Beverage CoCL B4,374$203.0K<0.1%−2,168−33.1%ReducedHistory
WDCWestern Digital CorpCOM3,615$204.0K<0.1%−700−16.2%ReducedHistory
MITKMitek Systems IncCOM NEW11,000$204.0K<0.1%−2,200−16.7%ReducedHistory
PWRQuanta Services, Inc.COM1,801$205.0K<0.1%+1,801NewHistory
VMOInvesco Municipal Opportunity TrustCOM14,945$205.0K<0.1%+1,048+7.5%AddedHistory
BLFSBiolife Solutions IncCOM NEW4,850$205.0K<0.1%00.0%UnchangedHistory
TLRYTilray Brands, Inc.COM CL 218,116$205.0K<0.1%−6,870−27.5%ReducedHistory
RYRoyal Bank of CanadaStock2,071$206.0K<0.1%−10−0.5%ReducedHistory
BGFVBig 5 Sporting Goods CorpCOM8,955$206.0K<0.1%−2,658−22.9%ReducedHistory
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF5,297$207.0K<0.1%00.0%Unchanged–
CHDNChurchill Downs IncCOM862$207.0K<0.1%+862NewHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT34,123$207.0K<0.1%+1,278+3.9%AddedHistory
First Tr Exchange Traded FD33734X770DJ INTL INTRNT5,166$207.0K<0.1%−900−14.8%Reduced–
iShares Inc464286822MSCI MEXICO ETF4,320$208.0K<0.1%−87−2.0%Reduced–
ASHAshland Inc.COM2,330$208.0K<0.1%00.0%UnchangedHistory
Echo Global Logistics, Inc.27875T101COM4,365$208.0K<0.1%+4,365New–
RQICohen & Steers Quality Income Realty Fund IncCEF14,004$209.0K<0.1%−267−1.9%ReducedHistory
Global X FDS37954Y657US PFD ETF8,118$209.0K<0.1%−268−3.2%Reduced–
iShares Tr464288869MICRO-CAP ETF1,451$209.0K<0.1%−2,150−59.7%Reduced–
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT21,471$209.0K<0.1%+3,368+18.6%AddedHistory
Cambria ETF Tr132061821CANNABIS ETF14,944$210.0K<0.1%−1,595−9.6%Reduced–
FANGDiamondback Energy, Inc.Stock2,230$211.0K<0.1%−5,827−72.3%ReducedHistory
PAYCPaycom Software, Inc.Stock425$211.0K<0.1%+425NewHistory
iShares Esg Aware US Aggregate Bond ETF46435U549ETF3,837$212.0K<0.1%+3,837New–
Invesco Exchange Traded FD T46137V407INVESCO MSCI3,354$212.0K<0.1%−82−2.4%Reduced–
JPINuveen Preferred Securities & Income Opportunities FundCOM8,550$212.0K<0.1%00.0%UnchangedHistory
NXPINXP Semiconductors N.V.COM1,085$213.0K<0.1%−14−1.3%ReducedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT57,047$213.0K<0.1%+1,946+3.5%AddedHistory
PNWPinnacle West Capital CorpCOM2,948$213.0K<0.1%+2,948NewHistory
MASMasco CorpCOM3,857$214.0K<0.1%−49−1.3%ReducedHistory
OMCOmnicom Group Inc.COM2,959$214.0K<0.1%−154−4.9%ReducedHistory
SUISun Communities IncCOM1,155$214.0K<0.1%+1,155NewHistory
JCIJohnson Controls International plcStock3,154$215.0K<0.1%+49+1.6%AddedHistory
AAgilent Technologies, Inc.COM1,366$215.0K<0.1%+1,366NewHistory
Invesco Exchange Traded FD T46137V472S&P MDCP QUALITY2,825$215.0K<0.1%−362−11.4%Reduced–
SONYSony Group CorpSPONSORED ADR1,951$216.0K<0.1%+1,951NewHistory
iShares Inc464286392MSCI WORLD ETF1,718$217.0K<0.1%00.0%Unchanged–
POOLPool CorpCOM501$218.0K<0.1%−10−2.0%ReducedHistory
LBTYALiberty Global Ltd.SHS CL A7,300$218.0K<0.1%−3,043−29.4%ReducedHistory
CHWYChewy, Inc.CL A3,210$219.0K<0.1%+3,210NewHistory
iShares U S ETF Tr46431W648U.S. TECH INDEPD3,952$220.0K<0.1%+10.0%Added–
KIOKKR Income Opportunities FundCOM13,436$220.0K<0.1%+183+1.4%AddedHistory
ICEIntercontinental Exchange, Inc.Stock1,922$221.0K<0.1%−1,402−42.2%ReducedHistory
PHParker-Hannifin CorpStock789$221.0K<0.1%−50−6.0%ReducedHistory
VanEck ETF Trust92189F429PREFERRED SECURT10,434$221.0K<0.1%+286+2.8%Added–
LYVLive Nation Entertainment, Inc.COM2,429$221.0K<0.1%+2,429NewHistory
RKTRocket Companies, Inc.Stock13,831$222.0K<0.1%−493−3.4%ReducedHistory
SLRCSLR Investment Corp.COM11,605$222.0K<0.1%+429+3.8%AddedHistory
Invesco Exchange Traded FD T46137V738LARGE CAP VALUE4,994$222.0K<0.1%−1,901−27.6%Reduced–
Flexshares Tr33939L860QUALT DIVD IDX3,993$222.0K<0.1%+106+2.7%Added–
NAVINavient CorpCOM11,242$222.0K<0.1%−465−4.0%ReducedHistory
EIXEdison InternationalStock4,012$223.0K<0.1%−2,036−33.7%ReducedHistory
DBAInvesco DB Agriculture FundAGRICULTURE FD11,700$224.0K<0.1%+11,700NewHistory
BFHBread Financial Holdings, Inc.COM2,218$224.0K<0.1%+213+10.6%AddedHistory
TELTE Connectivity plcREG SHS1,629$224.0K<0.1%+1,629NewHistory
Dimensional ETF Trust25434V203INTL CORE EQT MK7,773$225.0K<0.1%+7,773New–
MCKMcKesson CorpStock1,135$226.0K<0.1%−170−13.0%ReducedHistory
FPFFirst Trust Intermediate Duration Preferred & Income FundCOM9,032$226.0K<0.1%+450+5.2%AddedHistory
ZGZillow Group, Inc.CL A2,555$226.0K<0.1%−728−22.2%ReducedHistory
iShares Tr46435U432IBONDS DEC 258,101$226.0K<0.1%+14+0.2%Added–
JRONuveen Floating Rate Income Opportunity FundCOM SHS22,596$226.0K<0.1%+8,191+56.9%AddedHistory
NVONovo Nordisk A SADR2,368$227.0K<0.1%+2,368NewHistory
ABAlliancebernstein Holding L.P.UNIT LTD PARTN4,580$227.0K<0.1%+4,580NewHistory
iShares Tr46435G318IBONDS DEC20238,721$227.0K<0.1%+23+0.3%Added–
iShares Tr46435U697IBONDS DEC8,423$227.0K<0.1%+17+0.2%Added–
TTCFTattooed Chef, Inc.COM CL A12,340$227.0K<0.1%−53,795−81.3%ReducedHistory
BYDBoyd Gaming CorpCOM3,601$228.0K<0.1%−75−2.0%ReducedHistory
iShares Tr464289479CORE LT USDB ETF3,188$228.0K<0.1%+80+2.6%Added–
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,075$228.0K<0.1%00.0%UnchangedHistory
ALSumisho Air Lease CorpCL A5,800$228.0K<0.1%+5,800NewHistory
PTONPeloton Interactive, Inc.CL A COM2,625$229.0K<0.1%−4,413−62.7%ReducedHistory
CGCCanopy Growth CorpCOM16,507$229.0K<0.1%−1,209−6.8%ReducedHistory
APTVAptiv PLCSHS1,536$229.0K<0.1%+1,536NewHistory
ATRAptargroup, Inc.Stock1,925$230.0K<0.1%−131−6.4%ReducedHistory
LBRTLiberty Energy Inc.COM CL A19,000$230.0K<0.1%+19,000NewHistory
First Tr Exchange-Traded FD33733E807NAT GAS ETF13,719$231.0K<0.1%−2,677−16.3%Reduced–
DOCHealthpeak Properties, Inc.COM6,935$232.0K<0.1%+660+10.5%AddedHistory
SOFISoFi Technologies, Inc.Stock14,693$233.0K<0.1%+14,693NewHistory
AGNCAGNC Investment Corp.REIT14,774$233.0K<0.1%−2,836−16.1%ReducedHistory
BNSBank of Nova ScotiaCOM3,783$233.0K<0.1%+281+8.0%AddedHistory
OVVOvintiv Inc.COM7,075$233.0K<0.1%−158−2.2%ReducedHistory
FCELFuelcell Energy IncCOM34,909$234.0K<0.1%+2,480+7.6%AddedHistory
VanEck ETF Trust92189F387SHRT HGH YLD MUN9,352$235.0K<0.1%+9,352New–
RTLNecessity Retail REIT, Inc.COM CLASS A29,277$235.0K<0.1%−1,825−5.9%ReducedHistory
CBChubb LtdStock1,357$236.0K<0.1%−651−32.4%ReducedHistory
KKRKKR & Co. Inc.COM3,879$236.0K<0.1%−1,197−23.6%ReducedHistory
IRDMIridium Communications Inc.COM5,932$236.0K<0.1%00.0%UnchangedHistory
Invesco Exchange Traded FD T46137V886DWA STAPLES2,633$236.0K<0.1%−30−1.1%Reduced–
FNDFloor & Decor Holdings, Inc.CL A1,973$238.0K<0.1%−745−27.4%ReducedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT12,104$238.0K<0.1%−47−0.4%ReducedHistory
BBYBest Buy Co IncStock2,256$239.0K<0.1%+25+1.1%AddedHistory
AONAon plcCL A834$239.0K<0.1%+834NewHistory
SPDR Index Shs FDS78463X202ST STR EU 50 ETF5,273$239.0K<0.1%−1,031−16.4%Reduced–
NCLHNorwegian Cruise Line Holdings Ltd.SHS8,948$239.0K<0.1%−4,642−34.2%ReducedHistory
HPSJohn Hancock Preferred Income Fund IIICOM12,786$239.0K<0.1%+500+4.1%AddedHistory
NKLANikola CorpCOM22,422$239.0K<0.1%−2,949−11.6%ReducedHistory

Options (18)

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 Q3 2021
SecurityClassPutsCalls
AMZNAmazon Com IncStock–$20.0M
Invesco QQQ Trust Series I46090E103ETF$5.12M–
VanEck ETF Trust92189H607OIL SERVICES ETF–$4.73M
SPYSPDR S&P 500 ETF TrustETF$1.54M$901.0K
XUnited States Steel CorpCOM–$879.0K
ROKURoku, IncCOM CL A–$783.0K
NFLXNetflix IncStock–$610.0K
GOOGAlphabet Inc.Stock–$533.0K
AAPLApple Inc.Stock–$354.0K
BABoeing CoStock–$308.0K
MSFTMicrosoft CorpStock–$282.0K
FDXFedEx CorpStock–$263.0K
MRNAModerna, Inc.Stock$231.0K–
SRNESorrento Therapeutics, Inc.COM NEW–$209.0K
VHCVirnetX Holding CorpCOM–$103.0K
AGENAgenus IncCOM NEW–$61.0K
NOKNokia CorpSPONSORED ADR–$54.0K
SOSSOS LtdSPNSORD ADS NEW–$50.0K

Sold out since Q2 2021 (157)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 157 by value last quarter.

Positions of Sigma Planning Corp sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL95,116$7.34M0.2%–
TPRTapestry, Inc.COM143,583$6.24M0.2%History
Innovator U.S. Equity Buffer ETF - October45782C771ETF82,676$2.67M0.1%–
iShares Tr464287838U.S. BAS MTL ETF17,403$2.27M0.1%–
DXCDXC Technology CoStock48,152$1.88M0.1%History
ARLOArlo Technologies, Inc.COM246,200$1.67M0.1%History
WORKSlack Technologies, Inc.COM CL A29,956$1.33M<0.1%History
WisdomTree Tr97717X578EM EX ST-OWNED30,235$1.27M<0.1%–
WKHSWorkhorse Group Inc.COM NEW66,193$1.10M<0.1%History
APPSDigital Turbine, Inc.COM NEW14,266$1.08M<0.1%History
Kirkland Lake Gold Ltd49741E100COM25,703$990.0K<0.1%–
EXKEndeavour Silver CorpCOM155,115$949.0K<0.1%History
UPWKUpwork, IncCOM15,675$914.0K<0.1%History
WPMWheaton Precious Metals Corp.COM19,801$873.0K<0.1%History
MUXMcEwen Inc.COM597,288$824.0K<0.1%History
BIIBBiogen Inc.COM2,365$819.0K<0.1%History
DBXDropbox, Inc.CL A25,092$761.0K<0.1%History
ABBNYABB LtdSPONSORED ADR22,296$758.0K<0.1%History
IQVIQVIA Holdings Inc.Stock2,981$722.0K<0.1%History
Sandstorm Gold Ltd Com New80013R206Stock90,263$712.0K<0.1%–
Legg Mason ETF Invt Tr52468L810WESTN ASET TTL25,540$697.0K<0.1%–
Invesco Exch Traded FD Tr II46138E800CHINA TECHNLGY7,968$671.0K<0.1%–
BSETBassett Furniture Industries IncCOM25,280$616.0K<0.1%History
KGCKinross Gold CorpCOM93,865$596.0K<0.1%History
Alpha Architect ETF Tr02072L862MERLYN AI SECTOR20,770$579.0K<0.1%–
STMPStamps.com IncCOM NEW2,828$566.0K<0.1%History
MANUManchester United plcORD CL A37,049$563.0K<0.1%History
SPDR Series Trust78464A714ST STR SP RETAIL5,612$546.0K<0.1%–
TCOMTrip.com Group LtdADS15,302$543.0K<0.1%History
BMBLBumble Inc.COM CL A9,309$536.0K<0.1%History
MMYTMakeMyTrip LtdStock17,818$535.0K<0.1%History
Hoegh LNG Partners LPY3262R100COM UNIT LTD30,265$532.0K<0.1%–
BDRYAmplify Commodity TrustBREAKWAVE DRY18,086$531.0K<0.1%History
GATOGatos Silver, Inc.COM29,619$518.0K<0.1%History
New Gold Inc Cda644535106COM285,749$517.0K<0.1%–
FSLRFirst Solar, Inc.Stock5,584$505.0K<0.1%History
Alps Clean Energy ETF00162Q460ETF6,544$496.0K<0.1%–
IBNIcici Bank LtdADR28,608$489.0K<0.1%History
SNBRQSleep Number CorpCOM4,437$488.0K<0.1%History
Invesco Exch Traded FD Tr II46138G672S&P MDCP 400 REV5,370$475.0K<0.1%–
SPDR Series Trust78468R739ST NUVE TERM ETF9,484$470.0K<0.1%–
TLKPerusahaan Perseroan Persero PT Telekomunikasi Indonesia TBKSPONSORED ADR21,507$466.0K<0.1%History
IRBTiRobot CorpCOM4,884$456.0K<0.1%History
Global X FDS37954Y434GENOMIC BIOTECH18,296$455.0K<0.1%–
STLDSteel Dynamics IncCOM7,263$433.0K<0.1%History
GENGen Digital Inc.Stock15,743$429.0K<0.1%History
AEVAAeva Technologies, Inc.COM38,770$410.0K<0.1%History
Liberty Media Corp531229409COM A SIRIUSXM8,736$407.0K<0.1%–
SEDGSolaredge Technologies, Inc.COM1,463$404.0K<0.1%History
Churchill Capital Corp IV171439102CL A13,844$399.0K<0.1%–
FUTUFutu Holdings LtdSPON ADS CL A2,162$387.0K<0.1%History
JWNNordstrom IncStock10,078$369.0K<0.1%History
iShares Inc464286400MSCI BRAZIL ETF8,770$356.0K<0.1%–
TRTNTriton International LtdCL A6,764$354.0K<0.1%History
TWOU2U, LLCCOM8,304$346.0K<0.1%History
TPICQTpi Composites, IncCOM7,017$340.0K<0.1%History
EOGEOG Resources IncStock4,032$336.0K<0.1%History
PGRProgressive CorpStock3,344$328.0K<0.1%History
OGNOrganon & Co.Stock10,167$308.0K<0.1%History
VUZIVuzix CorpCOM NEW16,795$308.0K<0.1%History
JEFJefferies Financial Group Inc.COM8,961$306.0K<0.1%History
HOGHarley-Davidson, Inc.COM6,529$299.0K<0.1%History
REIRing Energy, Inc.COM100,000$298.0K<0.1%History
ESGREnstar Group LTDSHS1,245$297.0K<0.1%History
YAlleghany CorpCOM442$295.0K<0.1%History
Innovator ETFs Trust45782C524INTRNL DEV JAN10,812$289.0K<0.1%–
Dte Energy Co233331842UNIT 11/01/2022S5,733$283.0K<0.1%–
BRSLBrightstar Lottery PLCSHS USD11,557$277.0K<0.1%History
BEBloom Energy CorpCOM CL A10,246$275.0K<0.1%History
NWLNewell Brands Inc.Stock9,985$274.0K<0.1%History
First Tr Exchng Traded FD VI33740F748FT VEST US EQT7,521$272.0K<0.1%–
FWONALiberty Media CorpCOM SER A FRMLA6,371$272.0K<0.1%History
VanEck Vectors ETF Tr92189F205STEEL ETF4,356$270.0K<0.1%–
CFCF Industries Holdings, Inc.COM5,211$268.0K<0.1%History
LVSLas Vegas Sands CorpCOM5,065$267.0K<0.1%History
FLNAFilana Therapeutics, Inc.COM3,123$267.0K<0.1%History
AVOMission Produce, Inc.COM12,790$265.0K<0.1%History
MXIMMaxim Integrated Products IncCOM2,513$265.0K<0.1%History
CRUSCirrus Logic, Inc.Stock3,090$263.0K<0.1%History
JAZZJazz Pharmaceuticals plcSHS USD1,478$263.0K<0.1%History
TRUPTrupanion, Inc.COM2,288$263.0K<0.1%History
COHRCoherent Corp.COM3,602$261.0K<0.1%History
Abraxas Pete Corp003830304COM NEW80,490$260.0K<0.1%–
iShares Inc46434G848MSCI GBL ETF NEW5,726$259.0K<0.1%–
PGNYProgyny, Inc.COM4,371$258.0K<0.1%History
Farfetch Ltd30744W107ORD SH CL A5,095$257.0K<0.1%–
BBIGVinco Ventures, Inc.COM64,370$254.0K<0.1%History
CNCCentene CorpStock3,461$252.0K<0.1%History
iShares Tr464287184CHINA LG-CAP ETF5,449$252.0K<0.1%–
Invesco Exchange Traded FD T46137V373S&P500 EQL STP1,560$251.0K<0.1%–
Flexshares Tr33939L407MORNSTAR UPSTR6,338$243.0K<0.1%–
iShares Tr464288430ASIA 50 ETF2,642$242.0K<0.1%–
CBRLCracker Barrel Old Country Store, IncCOM1,598$237.0K<0.1%History
PALLabrdn Palladium ETF TrustPHYSICAL PALLADM905$235.0K<0.1%History
Cornerstone Building Brands, Inc.21925D109COM12,870$234.0K<0.1%–
Cambria ETF Tr132061201SHSHLD YIELD ETF3,614$231.0K<0.1%–
COUPCoupa Software IncCOM870$228.0K<0.1%History
TTCToro CoCOM2,067$227.0K<0.1%History
Innovator ETFs Trust45782C516EMRGNG MKT JAN7,234$225.0K<0.1%–
QFINQfin Holdings, Inc.AMERICAN DEP5,350$224.0K<0.1%History