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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
FHNFirst Horizon CorpCOM8,576$201.0K<0.1%+8,576NewHistory
WKWorkiva IncCOM CL A1,700$201.0K<0.1%00.0%UnchangedHistory
Flexshares Tr33939L407MORNSTAR UPSTR4,314$202.0K<0.1%+4,314New–
ABAlliancebernstein Holding L.P.UNIT LTD PARTN4,296$202.0K<0.1%−292−6.4%ReducedHistory
EFCEllington Financial Inc.COM11,438$203.0K<0.1%+26+0.2%AddedHistory
STORStore Capital LLCCOM6,954$203.0K<0.1%−745−9.7%ReducedHistory
AAgilent Technologies, Inc.COM1,539$204.0K<0.1%+113+7.9%AddedHistory
WPMWheaton Precious Metals Corp.COM4,285$204.0K<0.1%+4,285NewHistory
Vanguard Scottsdale FDS92206C706INTER TERM TREAS3,237$204.0K<0.1%−2,300−41.5%Reduced–
SPDR Series Trust78464A714ST STR SP RETAIL2,705$204.0K<0.1%+2,705New–
GFNew Germany Fund IncCOM17,852$204.0K<0.1%+4,867+37.5%AddedHistory
UVVUniversal CorpCOM3,540$206.0K<0.1%−5,681−61.6%ReducedHistory
TRTNTriton International LtdCL A2,930$206.0K<0.1%+2,930NewHistory
DRIDarden Restaurants IncCOM1,557$207.0K<0.1%+63+4.2%AddedHistory
SPDR Index Shs FDS78463X475ST STR MSCI GLB3,785$207.0K<0.1%+3,785New–
BYDBoyd Gaming CorpCOM3,151$207.0K<0.1%−1,073−25.4%ReducedHistory
XYLXylem Inc.COM2,427$207.0K<0.1%+166+7.3%AddedHistory
iShares Tr46434V647GLOBAL REIT ETF7,088$207.0K<0.1%−3,703−34.3%Reduced–
Innovator ETFs Trust45782C680US EQTY PWR BF6,880$208.0K<0.1%00.0%Unchanged–
Schwab Strategic Tr8085247221000 INDEX ETF4,727$208.0K<0.1%+4,727New–
WisdomTree Tr97717X784WSDM EMKTBD FD3,155$208.0K<0.1%+3,155New–
RCIRogers Communications IncCL B3,670$208.0K<0.1%+3,670NewHistory
SPDR Series Trust78464A805ST STR PR SP15003,745$208.0K<0.1%+3,745New–
ESTEEarthstone Energy IncCL A16,465$208.0K<0.1%+6,025+57.7%AddedHistory
APAAPA CorpStock5,058$209.0K<0.1%+5,058NewHistory
First Tr Exchng Traded FD VI33740F862FT VEST US EQT5,505$209.0K<0.1%00.0%Unchanged–
SNYSanofiSPONSORED ADR4,065$209.0K<0.1%−102−2.4%ReducedHistory
Invesco Exchange Traded FD T46137V407INVESCO MSCI3,394$209.0K<0.1%+39+1.2%Added–
SONYSony Group CorpSPONSORED ADR2,046$210.0K<0.1%+51+2.6%AddedHistory
GSLGlobal Ship Lease, Inc.COM CL A7,366$210.0K<0.1%+7,366NewHistory
FUBOFuboTV Inc.COM32,167$211.0K<0.1%−3,600−10.1%ReducedHistory
SESea LtdSPONSORD ADS1,765$211.0K<0.1%+61+3.6%AddedHistory
ARCBArcbest CorpCOM2,636$212.0K<0.1%−2,996−53.2%ReducedHistory
iShares U S ETF Tr46431W648U.S. TECH INDEPD3,839$212.0K<0.1%−171−4.3%Reduced–
BPOPPopular, Inc.COM NEW2,591$212.0K<0.1%+2,591NewHistory
First Tr Exchng Traded FD VI33740F615FT VEST US EQT6,578$213.0K<0.1%+6,578New–
FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCCOM10,803$213.0K<0.1%−200−1.8%ReducedHistory
WisdomTree Tr97717X669US QTLY DIV GRT3,346$213.0K<0.1%−835−20.0%Reduced–
BWABorgwarner IncCOM5,504$214.0K<0.1%+88+1.6%AddedHistory
ETF Ser Solutions26922B709APTUS INT ENH YL9,408$214.0K<0.1%+9,408New–
STWDStarwood Property Trust, Inc.COM8,850$214.0K<0.1%−1,918−17.8%ReducedHistory
ATOMAtomera IncCOM16,380$214.0K<0.1%+2,650+19.3%AddedHistory
ALSumisho Air Lease CorpCL A4,800$214.0K<0.1%−1,000−17.2%ReducedHistory
HPSJohn Hancock Preferred Income Fund IIICOM11,988$215.0K<0.1%+1,610+15.5%AddedHistory
BHPBHP Group LtdADR2,792$216.0K<0.1%+2,792NewHistory
Invesco Exch Traded FD Tr II46138G508SR LN ETF9,918$216.0K<0.1%+9,918New–
OKTAOkta, Inc.CL A1,434$216.0K<0.1%−3,061−68.1%ReducedHistory
CLRContinental Resources, IncCOM3,521$216.0K<0.1%+3,521NewHistory
Invesco Actively Managed ETF46090C305EMGRING MKTS504,903$216.0K<0.1%+4,903New–
AGNCAGNC Investment Corp.REIT16,587$217.0K<0.1%+2,371+16.7%AddedHistory
FOURShift4 Payments, Inc.CL A3,500$217.0K<0.1%00.0%UnchangedHistory
BFHBread Financial Holdings, Inc.COM3,869$217.0K<0.1%+3,869NewHistory
FCELFuelcell Energy IncCOM37,633$217.0K<0.1%+139+0.4%AddedHistory
JRONuveen Floating Rate Income Opportunity FundCOM SHS21,520$218.0K<0.1%−1,207−5.3%ReducedHistory
NTGTortoise Midstream Energy Fund, Inc.COM5,732$218.0K<0.1%−1,485−20.6%ReducedHistory
iShares Tr46435G334MSCI UK ETF NEW6,504$219.0K<0.1%−13−0.2%Reduced–
SLRCSLR Investment Corp.COM12,129$220.0K<0.1%+512+4.4%AddedHistory
WisdomTree Tr97717Y659CYBERSECURITY FD8,877$220.0K<0.1%+8,877New–
WDCWestern Digital CorpCOM4,430$220.0K<0.1%+350+8.6%AddedHistory
iShares Inc464286392MSCI WORLD ETF1,723$221.0K<0.1%+1+0.1%Added–
FPFFirst Trust Intermediate Duration Preferred & Income FundCOM10,036$221.0K<0.1%+1,055+11.7%AddedHistory
XXII22nd Century Group, Inc.COM95,100$221.0K<0.1%−1,000−1.0%ReducedHistory
Innovator ETFs Trust45782C631INTERNATIONAL DV9,100$222.0K<0.1%+9,100New–
Fidelity Covington Trust316092790QLTY FCTOR ETF4,243$222.0K<0.1%−912−17.7%Reduced–
PHParker-Hannifin CorpStock787$223.0K<0.1%+74+10.4%AddedHistory
Flexshares Tr33939L860QUALT DIVD IDX3,753$223.0K<0.1%−263−6.5%Reduced–
RCKTRocket Pharmaceuticals, Inc.COM14,060$223.0K<0.1%+14,060NewHistory
APTSPreferred Apartment Communities IncCOM8,925$223.0K<0.1%+8,925NewHistory
UTHRUnited Therapeutics CorpCOM1,250$224.0K<0.1%+1,250NewHistory
ProShares Tr74348A541HGH YLD INT RATE3,609$225.0K<0.1%+3,609New–
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG9,941$225.0K<0.1%−223−2.2%Reduced–
ICLICL Group Ltd.SHS18,736$226.0K<0.1%+18,736NewHistory
CWHCamping World Holdings, Inc.CL A8,115$227.0K<0.1%+600+8.0%AddedHistory
FISFidelity National Information Services, Inc.Stock2,268$228.0K<0.1%+2,268NewHistory
IRDMIridium Communications Inc.COM5,660$228.0K<0.1%−284−4.8%ReducedHistory
FNGSBank of MontrealNT LKD 387,895$228.0K<0.1%+7,895NewHistory
ALKAlaska Air Group, Inc.COM3,924$228.0K<0.1%−743−15.9%ReducedHistory
WRKWestRock CoCOM4,850$228.0K<0.1%−655−11.9%ReducedHistory
First Tr Exchange-Traded FD33734X853INTL EQUITY OPP4,693$229.0K<0.1%−16,780−78.1%Reduced–
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,000$229.0K<0.1%00.0%UnchangedHistory
ASHAshland Inc.COM2,330$229.0K<0.1%00.0%UnchangedHistory
BBYBest Buy Co IncStock2,534$230.0K<0.1%+78+3.2%AddedHistory
LTCLTC Properties IncREIT5,971$230.0K<0.1%+8+0.1%AddedHistory
MNSTMonster Beverage CorpCOM2,892$231.0K<0.1%+30+1.0%AddedHistory
PFGPrincipal Financial Group IncCOM3,150$231.0K<0.1%+6+0.2%AddedHistory
CTASCintas CorpStock544$232.0K<0.1%−379−41.1%ReducedHistory
Vanguard Admiral FDS Inc921932844MIDCP 400 VAL1,385$232.0K<0.1%+66+5.0%Added–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF4,270$235.0K<0.1%−4,067−48.8%Reduced–
Northern LTS FD Tr IV66538H393INSPIRE TACTICAL9,225$235.0K<0.1%+9,225New–
Invesco Exchange Traded FD T46137V647SEMICONDUCTORS1,818$236.0K<0.1%−414−18.5%Reduced–
JPMorgan Chase & Co46625H365ALERIAN ML ETN11,283$236.0K<0.1%+11,283New–
SOFISoFi Technologies, Inc.Stock25,050$237.0K<0.1%+7,635+43.8%AddedHistory
Amplify ETF Tr032108102ONLIN RETL ETF3,608$237.0K<0.1%−915−20.2%Reduced–
AGCOAGCO CorpCOM1,626$238.0K<0.1%+1,626NewHistory
EVGEaton Vance Short Duration Diversified Income FundCOM20,560$238.0K<0.1%+20,560NewHistory
iShares Tr464287812US CONSM STAPLES1,205$241.0K<0.1%+107+9.7%Added–
KKRKKR & Co. Inc.COM4,131$242.0K<0.1%−6,009−59.3%ReducedHistory
First Tr Exchng Traded FD VI33740U307FT VEST US EQT6,837$242.0K<0.1%−4,029−37.1%Reduced–
BCXBlackRock Resources & Commodities Strategy TrustSHS21,929$242.0K<0.1%−368−1.7%ReducedHistory
TSITCW Strategic Income Fund IncCOM47,158$243.0K<0.1%00.0%UnchangedHistory

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