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Livermore
Livermore
ZHEN

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
Advisorshares Tr00768Y495PURE CANNABIS18,127$298.0K<0.1%+4,241+30.5%Added–
DRIDarden Restaurants IncCOM1,977$300.0K<0.1%−32−1.6%ReducedHistory
SBLKStar Bulk Carriers Corp.SHS PAR12,499$300.0K<0.1%+12,499NewHistory
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM17,600$301.0K<0.1%−783−4.3%ReducedHistory
WBSWebster Financial CorpCOM5,525$301.0K<0.1%00.0%UnchangedHistory
KLACKLA CorpCOM NEW907$303.0K<0.1%+27+3.1%AddedHistory
BWBabcock & Wilcox Enterprises, Inc.COM47,300$303.0K<0.1%−1,200−2.5%ReducedHistory
PFCPremier Financial CorpCOM9,561$304.0K<0.1%−204−2.1%ReducedHistory
NEMNEWMONT CorpStock5,615$305.0K<0.1%−10,702−65.6%ReducedHistory
First Tr Exchange Traded FD33741X102SMID RISNG ETF10,841$306.0K<0.1%−154−1.4%Reduced–
XIFRXPLR Infrastructure, LPCOM UNIT PART IN4,057$306.0K<0.1%−19−0.5%ReducedHistory
BSXBoston Scientific CorpStock7,086$307.0K<0.1%+7,086NewHistory
Invesco Exch Traded FD Tr II46138G698S&P 500 REVENUE4,212$307.0K<0.1%−6,573−60.9%Reduced–
ALKAlaska Air Group, Inc.COM5,232$307.0K<0.1%−232−4.2%ReducedHistory
iShares Tr46435U192GENOMICS IMMUN6,066$308.0K<0.1%+433+7.7%Added–
BBNBlackRock Taxable Municipal Bond TrustSHS12,012$309.0K<0.1%+12,012NewHistory
CPRTCopart IncCOM2,225$309.0K<0.1%+2,225NewHistory
iShares Tr464288752US HOME CONS ETF4,691$310.0K<0.1%−2,574−35.4%Reduced–
First Tr Exchange-Traded FD33737A108NASDQ CLN EDGE3,344$310.0K<0.1%+907+37.2%Added–
Innovator ETFs Trust45782C409US EQTY BUFR JAN8,592$310.0K<0.1%+141+1.7%Added–
Amplify ETF Tr032108847CEF HIGH INCOME18,466$311.0K<0.1%+2,289+14.1%Added–
SPDR Ser Tr78464A813S&P 600 SML CAP3,278$311.0K<0.1%−757−18.8%Reduced–
SWBISmith & Wesson Brands, Inc.COM15,050$312.0K<0.1%+3,661+32.1%AddedHistory
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL3,048$313.0K<0.1%−631−17.2%Reduced–
ASOAcademy Sports & Outdoors, Inc.COM7,856$314.0K<0.1%+785+11.1%AddedHistory
AFRMAffirm Holdings, Inc.COM CL A2,637$314.0K<0.1%+2,637NewHistory
HLTHilton Worldwide Holdings Inc.COM2,386$315.0K<0.1%−1,147−32.5%ReducedHistory
CLGNCollPlant Biotechnologies LtdSHS NEW18,635$315.0K<0.1%+18,635NewHistory
HPQHP IncStock11,542$316.0K<0.1%+486+4.4%AddedHistory
iShares Inc46434G822MSCI JAPAN ETF4,491$316.0K<0.1%+1,345+42.8%Added–
SAMBoston Beer Co IncCL A622$317.0K<0.1%+265+74.2%AddedHistory
ATOMAtomera IncCOM13,750$317.0K<0.1%+400+3.0%AddedHistory
GLWCorning IncCOM8,719$318.0K<0.1%−193−2.2%ReducedHistory
NXHNeighborhood Intelligence, Inc.COM4,085$318.0K<0.1%+1,695+70.9%AddedHistory
VanEck ETF Trust92189H201INTRMDT MUNI ETF6,240$320.0K<0.1%+555+9.8%Added–
BEPCBrookfield Renewable CorpCL A SUB VTG8,253$320.0K<0.1%+1,716+26.3%AddedHistory
KEYKeycorpCOM14,856$321.0K<0.1%−27−0.2%ReducedHistory
NARIInari Medical, Inc.Stock3,975$322.0K<0.1%−50−1.2%ReducedHistory
Vanguard Scottsdale FDS92206C714VNG RUS1000VAL4,682$322.0K<0.1%+1,095+30.5%Added–
DNPDNP Select Income Fund IncCOM30,216$322.0K<0.1%+7,456+32.8%AddedHistory
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM13,134$322.0K<0.1%−152−1.1%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J775BLOO PRI PWR ETF4,891$323.0K<0.1%+4,891New–
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN1009,765$323.0K<0.1%−1,380−12.4%Reduced–
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER5,793$324.0K<0.1%+810+16.3%Added–
DELLDell Technologies Inc.Stock3,126$325.0K<0.1%−150−4.6%ReducedHistory
CDWCDW CorpCOM1,789$326.0K<0.1%−6−0.3%ReducedHistory
SPDR Series Trust78464A607ST STR DOW REIT3,114$328.0K<0.1%+3,114New–
Dimensional U.S. Targeted Value ETF25434V609ETF7,420$329.0K<0.1%+518+7.5%Added–
Innovator ETFs Trust45782C722INTRNL DEV JULY13,610$330.0K<0.1%+13,610New–
TTETotalEnergies SESPONSORED ADS6,894$330.0K<0.1%−173−2.4%ReducedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST23,034$331.0K<0.1%−7,409−24.3%Reduced–
PKGPackaging Corp of AmericaStock2,414$332.0K<0.1%+2,414NewHistory
Ssga Active ETF Tr78467V848ST STR TOTAL ETF6,867$332.0K<0.1%−547−7.4%Reduced–
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM23,809$332.0K<0.1%+12,201+105.1%AddedHistory
iShares U.S. Healthcare Providers ETF464288828ETF1,303$333.0K<0.1%+32+2.5%Added–
SPDR Series Trust78468R721STATE STREET SPD6,454$333.0K<0.1%+537+9.1%Added–
JDJD.com, Inc.SPON ADS CL A4,606$333.0K<0.1%+4,606NewHistory
NGGNational Grid PLCSPONSORED ADR NE5,603$334.0K<0.1%+376+7.2%AddedHistory
iShares Tr46435G342MORTGE REL ETF9,225$334.0K<0.1%−3,385−26.8%Reduced–
Alps ETF Tr00162Q858SECTR DIV DOGS6,540$334.0K<0.1%−5,394−45.2%Reduced–
Global X FDS37950E549GLB X SUPERDIV25,254$334.0K<0.1%−41,717−62.3%Reduced–
LUMNLumen Technologies, Inc.Stock27,076$335.0K<0.1%+1,495+5.8%AddedHistory
RGENRepligen CorpCOM1,160$335.0K<0.1%−50−4.1%ReducedHistory
WisdomTree Tr97717X511YIELD ENHANCD US6,445$335.0K<0.1%+639+11.0%Added–
WRKWestRock CoCOM6,722$335.0K<0.1%−4,875−42.0%ReducedHistory
PCIPIMCO Dynamic Credit & Mortgage Income FundCOM SHS15,932$337.0K<0.1%−245−1.5%ReducedHistory
EXRExtra Space Storage Inc.COM2,010$338.0K<0.1%+559+38.5%AddedHistory
Graniteshares ETF Tr38747R108BBG COMMD K 111,241$338.0K<0.1%−401−3.4%Reduced–
Nuveen Tax-Advantaged Divid67073G105COM21,335$338.0K<0.1%+47+0.2%Added–
ULTAUlta Beauty, Inc.Stock938$339.0K<0.1%−141−13.1%ReducedHistory
TDYTeledyne Technologies IncCOM788$339.0K<0.1%−15−1.9%ReducedHistory
GNLGlobal Net Lease, Inc.COM NEW21,240$340.0K<0.1%−3,514−14.2%ReducedHistory
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF6,751$340.0K<0.1%+830+14.0%Added–
iShares Tr464288505MRGSTR SM CP ETF6,054$340.0K<0.1%+421+7.5%Added–
Invesco Exchange Traded FD T46137V191S&P MDCP400 VL3,756$342.0K<0.1%−420−10.1%Reduced–
First Tr Exchange Traded FD33741L108DORSY WR MOMNT12,442$343.0K<0.1%00.0%Unchanged–
Nushares ETF Tr67092P607NUVEEN ESG SMLCP7,941$345.0K<0.1%+190+2.5%Added–
ARCBArcbest CorpCOM4,226$346.0K<0.1%+727+20.8%AddedHistory
SKTTanger Inc.COM21,219$346.0K<0.1%−963−4.3%ReducedHistory
iShares Tr464287127MORNINGSTR US EQ5,703$346.0K<0.1%+20.0%Added–
CAHCardinal Health IncStock7,012$347.0K<0.1%+477+7.3%AddedHistory
BBWBuild-A-Bear Workshop IncCOM20,551$348.0K<0.1%+20,551NewHistory
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF9,627$349.0K<0.1%−74−0.8%Reduced–
ECOMChanneladvisor CorpCOM13,817$349.0K<0.1%+13,817NewHistory
SMGScotts Miracle-Gro CoStock2,389$350.0K<0.1%+127+5.6%AddedHistory
CMLSQCumulus Media IncCOM CL A28,562$350.0K<0.1%−3,711−11.5%ReducedHistory
BKNGBooking Holdings Inc.Stock147$351.0K<0.1%00.0%UnchangedHistory
SPDR Series Trust78468R556SP O&G EXPL PRO3,628$351.0K<0.1%−3,226−47.1%Reduced–
CNXCConcentrix CorpStock1,996$353.0K<0.1%+1,996NewHistory
REGNRegeneron Pharmaceuticals, Inc.COM583$353.0K<0.1%−753−56.4%ReducedHistory
CCSCentury Communities, Inc.COM5,741$353.0K<0.1%+1,371+31.4%AddedHistory
AZTAAzenta, Inc.COM3,454$354.0K<0.1%+330+10.6%AddedHistory
DBLDoubleLine Opportunistic Credit FundCOM18,056$356.0K<0.1%+28+0.2%AddedHistory
IVZInvesco Ltd.Stock14,800$357.0K<0.1%−7,396−33.3%ReducedHistory
AXSAxis Capital Holdings LtdSHS7,752$357.0K<0.1%+1,622+26.5%AddedHistory
Vanguard Emerging Markets Government Bond ETF921946885ETF4,566$358.0K<0.1%+278+6.5%Added–
WisdomTree Tr97717Y790US EFFIC CORE FD8,804$359.0K<0.1%−13,556−60.6%Reduced–
EXPEExpedia Group, Inc.Stock2,200$361.0K<0.1%−1,890−46.2%ReducedHistory
UTGReaves Utility Income FundCOM SH BEN INT11,002$361.0K<0.1%+2,483+29.1%AddedHistory
GNWGenworth Financial IncCOM SHS96,263$361.0K<0.1%+17,951+22.9%AddedHistory

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