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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q1 2022

Holdings as of Mar 31, 2022, filed Apr 20, 2022. Long positions only; changes compare share counts with Q4 2021.

Institution overview
Positions
1,346
−15 vs. Q4 2021
Portfolio value
$3.33B
−$236.5M (−6.6%) vs. Q4 2021
Filed
Apr 20, 2022
SEC
Holdings of Sigma Planning Corp in Q1 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
ITRMIterum Therapeutics plcSHS11,500$4.00K<0.1%00.0%UnchangedHistory
Harbor Custom Development IN41150T124*W EXP 10/04/20212,000$4.00K<0.1%+12,000New–
Second Sight Med Prods Inc81362J126*W EXP 03/14/20219,056$5.00K<0.1%00.0%Unchanged–
RMTIRockwell Medical, Inc.COM14,320$7.00K<0.1%+3,508+32.4%AddedHistory
AMPEAmpio Pharmaceuticals, Inc.COM19,848$9.00K<0.1%+3,703+22.9%AddedHistory
REEDReed's, Inc.COM28,451$9.00K<0.1%+700+2.5%AddedHistory
CFORCapForce Inc.COM17,500$13.0K<0.1%+5,000+40.0%AddedHistory
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$17.0K<0.1%00.0%UnchangedHistory
WPRTWestport Fuel Systems Inc.COM NEW11,400$18.0K<0.1%+11,400NewHistory
CBIOCrescent Biopharma, Inc.COM18,000$21.0K<0.1%+18,000NewHistory
HCDIHarbor Custom Development, Inc.COM10,000$23.0K<0.1%+10,000NewHistory
LOGCContextLogic Inc.COM CL A10,500$24.0K<0.1%00.0%UnchangedHistory
STEXStreamex Corp.COM NEW22,000$25.0K<0.1%+4,500+25.7%AddedHistory
New Gold Inc Cda644535106COM13,730$25.0K<0.1%00.0%Unchanged–
ZOMDFZomedica Corp.COM80,250$27.0K<0.1%−14,200−15.0%ReducedHistory
ONCTOncternal Therapeutics, Inc.COM20,025$28.0K<0.1%+500+2.6%AddedHistory
HIVEHIVE Digital Technologies Ltd.COM13,665$29.0K<0.1%+2,558+23.0%AddedHistory
ABUSArbutus Biopharma CorpCOM11,000$33.0K<0.1%00.0%UnchangedHistory
AGENAgenus IncCOM NEW13,800$34.0K<0.1%00.0%UnchangedHistory
HOFVHall of Fame Resort & Entertainment CoCOM30,800$34.0K<0.1%+30,800NewHistory
NNDMNano Dimension Ltd.SPONSORD ADS NEW10,195$36.0K<0.1%+188+1.9%AddedHistory
CLOVClover Health Investments, Corp.COM CL A10,950$39.0K<0.1%−1,000−8.4%ReducedHistory
PLGPlatinum Group Metals LtdCOM18,500$39.0K<0.1%00.0%UnchangedHistory
EVGNEvogene Ltd.SHS31,410$41.0K<0.1%+14,700+88.0%AddedHistory
LYGLloyds Banking Group plcSPONSORED ADR19,527$47.0K<0.1%−4,865−19.9%ReducedHistory
Bitfarms Ltd Com09173B107Stock13,481$51.0K<0.1%+100+0.7%Added–
OPKOpko Health, Inc.COM15,402$53.0K<0.1%00.0%UnchangedHistory
TELLTellurian Inc.COM10,830$57.0K<0.1%+10,830NewHistory
IBRXImmunityBio, Inc.COM10,450$59.0K<0.1%+10,450NewHistory
NSLNuveen Senior Income FundCOM10,365$59.0K<0.1%00.0%UnchangedHistory
AQMSAqua Metals, Inc.COM40,690$61.0K<0.1%−355−0.9%ReducedHistory
IVRInvesco Mortgage Capital Inc.COM26,748$61.0K<0.1%−1,940−6.8%ReducedHistory
GTBPGT Biopharma, Inc.COM NEW21,400$62.0K<0.1%+21,400NewHistory
RIGTransocean Ltd.REGISTERED SHS14,084$64.0K<0.1%−514−3.5%ReducedHistory
CLVSClovis Oncology, Inc.COM31,498$64.0K<0.1%+18,249+137.7%AddedHistory
OGIOrganigram Global Inc.COM38,488$64.0K<0.1%−1,790−4.4%ReducedHistory
HUTHut 8 Corp.Common Stock12,301$68.0K<0.1%+495+4.2%AddedHistory
SQFTPresidio Property Trust, Inc.COM CL A18,531$69.0K<0.1%−1,224−6.2%ReducedHistory
JQCNuveen Credit Strategies Income FundCOM SHS11,718$72.0K<0.1%−992−7.8%ReducedHistory
SERSerina Therapeutics, Inc.COM87,650$75.0K<0.1%−550−0.6%ReducedHistory
OXSQOxford Square Capital Corp.COM17,920$75.0K<0.1%−5,109−22.2%ReducedHistory
SDCSmileDirectClub, Inc.CL A COM29,034$75.0K<0.1%+29,034NewHistory
Portage Biotech IncG7185A128COM11,388$75.0K<0.1%+11,388New–
Prospect Cap Corp74348TAR3NOTE 4.950% 7/179,000$80.0K<0.1%+31,000+64.6%Added–
IAFAbrdn Australia Equity Fund, Inc.COM12,821$81.0K<0.1%−5,100−28.5%ReducedHistory
SWNSouthwestern Energy CoCOM11,600$83.0K<0.1%−20,950−64.4%ReducedHistory
VVRInvesco Senior Income TrustCOM19,680$84.0K<0.1%+2,474+14.4%AddedHistory
EZPWEzcorp IncCL A NON VTG14,105$85.0K<0.1%+1,003+7.7%AddedHistory
ORCOrchid Island Capital, Inc.COM26,031$85.0K<0.1%+12,031+85.9%AddedHistory
REIRing Energy, Inc.COM22,700$87.0K<0.1%+22,700NewHistory
NOKNokia CorpSPONSORED ADR16,071$88.0K<0.1%−332−2.0%ReducedHistory
ANGIAngi Inc.COM CL A NEW15,700$89.0K<0.1%+950+6.4%AddedHistory
MNTSMomentus Inc.COM CL A28,775$92.0K<0.1%+12,525+77.1%AddedHistory
CDECoeur Mining, Inc.COM NEW22,350$99.0K<0.1%−642−2.8%ReducedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,307$100.0K<0.1%+10,307NewHistory
TTITetra Technologies IncCOM24,481$101.0K<0.1%00.0%UnchangedHistory
MBRXMoleculin Biotech, Inc.COM57,500$102.0K<0.1%+14,500+33.7%AddedHistory
XCURExicure, Inc.COM519,500$104.0K<0.1%+349,800+206.1%AddedHistory
Swedish Expt CR Corp870297801ROG TTL ETN 2212,120$106.0K<0.1%+12,120New–
IGRCbre Global Real Estate Income FundCOM11,849$107.0K<0.1%+54+0.5%AddedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT11,282$108.0K<0.1%+11,282NewHistory
MFAMfa Financial, Inc.COM26,787$108.0K<0.1%+88+0.3%AddedHistory
LNDBrasilAgro - Brazilian Agricultural Real Estate CoSPONSORED ADR16,300$110.0K<0.1%+16,300NewHistory
RWTRedwood Trust IncCOM10,500$111.0K<0.1%+500+5.0%AddedHistory
CGCCanopy Growth CorpCOM14,633$111.0K<0.1%−74−0.5%ReducedHistory
BTGB2GOLD CorpCOM24,480$112.0K<0.1%−156,905−86.5%ReducedHistory
PNTPOINT Biopharma Global Inc.COM14,715$117.0K<0.1%−100−0.7%ReducedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM35,662$121.0K<0.1%+20,090+129.0%AddedHistory
TLRYTilray Brands, Inc.COM CL 215,721$122.0K<0.1%−831−5.0%ReducedHistory
LTRNLantern Pharma Inc.COM17,600$126.0K<0.1%00.0%UnchangedHistory
SIRISirius XM Holdings Inc.COM19,338$128.0K<0.1%+618+3.3%AddedHistory
DNOWDNOW Inc.COM12,059$133.0K<0.1%+12,059NewHistory
WTIW&T Offshore IncCOM34,700$133.0K<0.1%+34,700NewHistory
EVGOEVgo Inc.CL A COM10,427$134.0K<0.1%+10,427NewHistory
Advisorshares Tr00768Y495PURE CANNABIS12,942$138.0K<0.1%−475−3.5%Reduced–
Adamas Trust, Inc.649604501COM PAR $.0241,494$151.0K<0.1%+437+1.1%Added–
RCMTRCM Technologies, Inc.COM NEW15,800$156.0K<0.1%+15,800NewHistory
GABGabelli Equity Trust IncCOM23,169$161.0K<0.1%−400−1.7%ReducedHistory
CIMChimera Investment CorpCOM NEW13,759$166.0K<0.1%+3,054+28.5%AddedHistory
NIDNuveen Intermediate Duration Municipal Term FundCOM12,000$166.0K<0.1%+1,362+12.8%AddedHistory
Two Harbors Investment Corp.90187B408COM NEW30,791$170.0K<0.1%+12,456+67.9%Added–
EFREaton Vance Senior Floating-Rate TrustCOM12,843$172.0K<0.1%+761+6.3%AddedHistory
NAVINavient CorpCOM10,152$173.0K<0.1%−1,128−10.0%ReducedHistory
HPEHewlett Packard Enterprise CoCOM10,479$175.0K<0.1%+10,479NewHistory
ABRArbor Realty Trust IncCOM10,326$176.0K<0.1%+10,326NewHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT27,507$177.0K<0.1%−25,770−48.4%ReducedHistory
SWBISmith & Wesson Brands, Inc.COM11,817$179.0K<0.1%+680+6.1%AddedHistory
VMOInvesco Municipal Opportunity TrustCOM15,590$179.0K<0.1%+196+1.3%AddedHistory
VODVodafone Group Public Ltd CoADR10,970$182.0K<0.1%−1,687−13.3%ReducedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$185.0K<0.1%00.0%Unchanged–
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT19,400$186.0K<0.1%+59+0.3%AddedHistory
KIOKKR Income Opportunities FundCOM12,917$186.0K<0.1%−705−5.2%ReducedHistory
CF Acquisition Corp VI12521J103COM CL A16,045$190.0K<0.1%−73,483−82.1%Reduced–
TWITitan International IncCOM13,050$192.0K<0.1%−17,450−57.2%ReducedHistory
ARLPAlliance Resource Partners LPStock12,600$194.0K<0.1%+12,600NewHistory
Health Assurn Acquisition Co42226W208UNIT 99/99/999919,575$195.0K<0.1%−625−3.1%Reduced–
NVGNuveen AMT-Free Municipal Credit Income FundCEF13,413$198.0K<0.1%−687−4.9%ReducedHistory
DXCMDexcom IncCOM391$200.0K<0.1%+12+3.2%AddedHistory
EXPDExpeditors International of Washington IncCOM1,941$200.0K<0.1%−509−20.8%ReducedHistory
Invesco Exchange Traded FD T46137V142WATER RES ETF3,796$201.0K<0.1%+85+2.3%Added–

Options (14)

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 Q1 2022
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$1.22M$903.0K
TSLATesla, Inc.Stock$323.0K$539.0K
GOOGAlphabet Inc.Stock–$838.0K
State Street Technology Select Sector SPDR ETF81369Y803ETF–$795.0K
AMZNAmazon Com IncStock–$652.0K
MSFTMicrosoft CorpStock–$493.0K
BABoeing CoStock–$306.0K
FDXFedEx CorpStock–$278.0K
NFLXNetflix IncStock–$262.0K
MRNAModerna, Inc.Stock$258.0K–
AAPLApple Inc.Stock–$227.0K
CRMSalesforce, Inc.Stock–$212.0K
NIONIO Inc.ADR–$211.0K
NLYAnnaly Capital Management IncCOM–$70.0K

Sold out since Q4 2021 (144)

Positions held at the end of Q4 2021 that are gone from this filing.

The largest 100 of 144 by value last quarter.

Positions of Sigma Planning Corp sold out since Q4 2021
SecurityClassShares in Q4 2021Value in Q4 2021% of portfolio in Q4 2021History
iShares Tr464288117INTL TREA BD ETF59,794$3.01M0.1%–
ETF Managers Tr26924G409PRIME MOBILE PAY28,090$1.63M<0.1%–
Kraneshares Trust500767405BOSERA MSCI CHIN29,575$1.28M<0.1%–
GTMZoomInfo Technologies Inc.Stock17,593$1.13M<0.1%History
AFRMAffirm Holdings, Inc.COM CL A11,198$1.13M<0.1%History
UCTTUltra Clean Holdings, Inc.COM13,417$770.0K<0.1%History
American Centy ETF Tr025072810FOCUSED DYNAMIC9,123$737.0K<0.1%–
NMRKNewmark Group, Inc.CL A37,895$709.0K<0.1%History
CENXCentury Aluminum CoCOM42,550$705.0K<0.1%History
OGNOrganon & Co.Stock21,141$644.0K<0.1%History
Invesco Exch Traded FD Tr II46138G870VAR RATE PFD24,853$644.0K<0.1%–
FSLYFastly, Inc.CL A18,118$642.0K<0.1%History
ZGNXZogenix, Inc.COM NEW39,060$635.0K<0.1%History
iShares Tr46435G268RUSEL 2500 ETF9,469$629.0K<0.1%–
AMHAmerican Homes 4 RentCL A14,328$625.0K<0.1%History
SNDRSchneider National, Inc.CL B22,790$613.0K<0.1%History
TITNTitan Machinery Inc.COM17,871$602.0K<0.1%History
UAUnder Armour, Inc.CL C32,231$581.0K<0.1%History
ARCHArch Resources, Inc.CL A6,255$571.0K<0.1%History
ALGMAllegro Microsystems, Inc.COM15,711$568.0K<0.1%History
BOOTBoot Barn Holdings, Inc.COM4,563$561.0K<0.1%History
First Tr Exchange-Traded FD33739Q507SSI STRG ETF12,857$532.0K<0.1%–
INMDInMode Ltd.SHS7,485$528.0K<0.1%History
GLDMWorld Gold TrustSPDR GLD MINIS28,946$526.0K<0.1%History
First Tr Exchng Traded FD VI33740F847FT VEST US EQT13,445$524.0K<0.1%–
GPNGlobal Payments IncStock3,623$490.0K<0.1%History
iShares Tr464288182MSCI AC ASIA ETF5,906$489.0K<0.1%–
Royal Dutch Shell PLC780259206SPONS ADR A11,243$488.0K<0.1%–
WUWestern Union COStock26,870$479.0K<0.1%History
WisdomTree Tr97717W844GLOB EX US QU FD10,953$477.0K<0.1%–
PHGKoninklijke Philips NVNY REGIS SHS NEW12,240$451.0K<0.1%History
FLYYSpirit Aviation Holdings, Inc.COM20,600$450.0K<0.1%History
First Tr Exchange-Traded FD33734X176TECH ALPHADEX3,343$441.0K<0.1%–
SHAKShake Shack Inc.CL A5,763$416.0K<0.1%History
AXSAxis Capital Holdings LtdSHS7,626$415.0K<0.1%History
CSQCalamos Strategic Total Return FundCOM SH BEN INT21,187$409.0K<0.1%History
Flexshares Tr33939L696STOX US ESG SLCT3,473$404.0K<0.1%–
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD15,641$401.0K<0.1%History
MUABlackRock Muniassets Fund, Inc.COM26,233$390.0K<0.1%History
MGNXMacrogenics IncCOM23,310$374.0K<0.1%History
CEFSprott Physical Gold & Silver TrustPHYSICAL GOLD AN20,039$355.0K<0.1%History
ANSSAnsys IncCOM867$348.0K<0.1%History
Innovator ETFs Trust45782C722INTRNL DEV JULY13,610$334.0K<0.1%–
Fidelity Merrimack STR Tr316188101CORP BOND ETF6,050$333.0K<0.1%–
ECOMChanneladvisor CorpCOM13,502$333.0K<0.1%History
PRGOPERRIGO Co plcSHS8,455$329.0K<0.1%History
RESNResonant IncCOM190,900$326.0K<0.1%History
IEXIdex CorpCOM1,363$322.0K<0.1%History
RUNSunrun Inc.COM9,349$321.0K<0.1%History
VanEck ETF Trust92189H201INTRMDT MUNI ETF6,246$320.0K<0.1%–
Ssga Active ETF Tr78467V848ST STR TOTAL ETF6,668$316.0K<0.1%–
KMXCarMax IncCOM2,399$312.0K<0.1%History
RGENRepligen CorpCOM1,164$308.0K<0.1%History
iShares MSCI India ETF46429B598ETF6,617$303.0K<0.1%–
VanEck ETF Trust92189H300JP MRGAN EM LOC10,525$301.0K<0.1%–
TRUPTrupanion, Inc.COM2,274$300.0K<0.1%History
RNPCohen & Steers REIT & Preferred & Income Fund IncCOM10,406$298.0K<0.1%History
Invesco Exch Traded FD Tr II46138G631NASDAQNXTGEN1008,789$295.0K<0.1%–
LWLamb Weston Holdings, Inc.Stock4,581$290.0K<0.1%History
BBWIBath & Body Works, Inc.COM4,078$285.0K<0.1%History
BJBJ's Wholesale Club Holdings, Inc.COM4,246$284.0K<0.1%History
TWTradeweb Markets Inc.Stock2,815$282.0K<0.1%History
Global X FDS37950E549GLB X SUPERDIV22,970$282.0K<0.1%–
QRVOQorvo, Inc.Stock1,779$278.0K<0.1%History
STEMStem, Inc.CL A14,614$277.0K<0.1%History
MASMasco CorpCOM3,934$276.0K<0.1%History
RHRHCOM501$269.0K<0.1%History
JCIJohnson Controls International plcStock3,238$263.0K<0.1%History
PNWPinnacle West Capital CorpCOM3,712$262.0K<0.1%History
HCAHCA Healthcare, Inc.COM1,015$261.0K<0.1%History
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL5,428$260.0K<0.1%–
Invesco Actively Managed Exc46090A804TOTAL RETURN4,506$254.0K<0.1%–
EXTRExtreme Networks IncCOM16,038$252.0K<0.1%History
BWBabcock & Wilcox Enterprises, Inc.COM27,700$250.0K<0.1%History
EXASExact Sciences CorpCOM3,199$249.0K<0.1%History
HOLXHologic IncCOM3,254$249.0K<0.1%History
NDAQNasdaq, Inc.COM1,177$247.0K<0.1%History
EBAYeBay IncCOM3,708$247.0K<0.1%History
iShares Tr46435U192GENOMICS IMMUN5,603$245.0K<0.1%–
MDCSekisui House U.S., Inc.COM4,392$245.0K<0.1%History
LPXLouisiana-Pacific CorpCOM3,120$244.0K<0.1%History
CIENCiena CorpCOM NEW3,163$243.0K<0.1%History
DOCHealthpeak Properties, Inc.COM6,706$242.0K<0.1%History
SPDR Index Shs FDS78463X202ST STR EU 50 ETF5,194$242.0K<0.1%–
CDMOAvid Bioservices, Inc.COM8,300$242.0K<0.1%History
NVAXNovavax IncCOM NEW1,685$241.0K<0.1%History
PTCPTC Inc.Stock1,973$239.0K<0.1%History
DBX ETF Tr233051820XTRACK MSCI ALL7,096$239.0K<0.1%–
Tidal Trust I886364405SOFI SOCIAL 506,300$237.0K<0.1%–
WisdomTree Tr97717W703INTL EQUITY FD4,360$236.0K<0.1%–
TRIThomson Reuters CorpCOM NEW1,969$236.0K<0.1%History
First Tr Exchng Traded FD VI33740U109TCW SECURITIZED9,108$234.0K<0.1%–
iShares Tr464289479CORE LT USDB ETF3,215$232.0K<0.1%–
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF13,524$232.0K<0.1%–
iShares Tr46428951110+ YR INVST GRD3,333$232.0K<0.1%–
MTCHMatch Group, Inc.COM1,748$231.0K<0.1%History
SPDR Series Trust78464A516ST INTL BBG ETF8,078$228.0K<0.1%–
FTVFortive CorpStock2,979$227.0K<0.1%History
DPZDominos Pizza IncCOM401$227.0K<0.1%History
AESAES CorpStock9,316$226.0K<0.1%History