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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q2 2022

Holdings as of Jun 30, 2022, filed Aug 11, 2022. Long positions only; changes compare share counts with Q1 2022.

Institution overview
Positions
1,275
−71 vs. Q1 2022
Portfolio value
$2.75B
−$581.6M (−17.5%) vs. Q1 2022
Filed
Aug 11, 2022
SEC
Holdings of Sigma Planning Corp in Q2 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20215,814$3.00K<0.1%+15,814NewHistory
TLPHTalphera, Inc.COM12,900$3.00K<0.1%+12,900NewHistory
AMPEAmpio Pharmaceuticals, Inc.COM17,442$3.00K<0.1%−2,406−12.1%ReducedHistory
CHGAChange Agents Corporation.COM11,265$5.00K<0.1%+11,265NewHistory
REEDReed's, Inc.COM30,145$5.00K<0.1%+1,694+6.0%AddedHistory
Second Sight Med Prods Inc81362J126*W EXP 03/14/20219,056$5.00K<0.1%00.0%Unchanged–
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$8.00K<0.1%00.0%UnchangedHistory
CFORCapForce Inc.COM17,500$10.0K<0.1%00.0%UnchangedHistory
Bitfarms Ltd Com09173B107Stock10,000$11.0K<0.1%−3,481−25.8%Reduced–
WPRTWestport Fuel Systems Inc.COM NEW12,200$12.0K<0.1%+800+7.0%AddedHistory
HOFVHall of Fame Resort & Entertainment CoCOM23,800$14.0K<0.1%−7,000−22.7%ReducedHistory
LOGCContextLogic Inc.COM CL A10,500$17.0K<0.1%00.0%UnchangedHistory
STEXStreamex Corp.COM NEW27,000$18.0K<0.1%+5,000+22.7%AddedHistory
ZOMDFZomedica Corp.COM82,750$18.0K<0.1%+2,500+3.1%AddedHistory
Avaya Hldgs Corp05351XAB7NOTE 2.250% 6/120,000$19.0K<0.1%+20,000New–
HCDIHarbor Custom Development, Inc.COM14,003$19.0K<0.1%+4,003+40.0%AddedHistory
ONCTOncternal Therapeutics, Inc.COM20,025$22.0K<0.1%00.0%UnchangedHistory
CLOVClover Health Investments, Corp.COM CL A10,700$23.0K<0.1%−250−2.3%ReducedHistory
AMRSAmyris, Inc.COM NEW12,506$23.0K<0.1%+12,506NewHistory
EVGNEvogene Ltd.SHS31,810$24.0K<0.1%+400+1.3%AddedHistory
AGENAgenus IncCOM NEW12,825$25.0K<0.1%−975−7.1%ReducedHistory
PLGPlatinum Group Metals LtdCOM19,500$26.0K<0.1%+1,000+5.4%AddedHistory
ABUSArbutus Biopharma CorpCOM11,000$30.0K<0.1%00.0%UnchangedHistory
SDCSmileDirectClub, Inc.CL A COM29,284$30.0K<0.1%+250+0.9%AddedHistory
AQMSAqua Metals, Inc.COM39,800$32.0K<0.1%−890−2.2%ReducedHistory
TELLTellurian Inc.COM10,730$32.0K<0.1%−100−0.9%ReducedHistory
ASRTAssertio Holdings, Inc.COM NEW11,000$32.0K<0.1%+11,000NewHistory
LYGLloyds Banking Group plcSPONSORED ADR17,347$35.0K<0.1%−2,180−11.2%ReducedHistory
OPKOpko Health, Inc.COM15,402$39.0K<0.1%00.0%UnchangedHistory
IBRXImmunityBio, Inc.COM10,750$40.0K<0.1%+300+2.9%AddedHistory
CGCCanopy Growth CorpCOM14,305$41.0K<0.1%−328−2.2%ReducedHistory
OGIOrganigram Global Inc.COM44,488$41.0K<0.1%+6,000+15.6%AddedHistory
RIGTransocean Ltd.REGISTERED SHS13,984$47.0K<0.1%−100−0.7%ReducedHistory
TLRYTilray Brands, Inc.COM CL 215,616$49.0K<0.1%−105−0.7%ReducedHistory
TTITetra Technologies IncCOM12,331$50.0K<0.1%−12,150−49.6%ReducedHistory
NSLNuveen Senior Income FundCOM10,365$50.0K<0.1%00.0%UnchangedHistory
SQFTPresidio Property Trust, Inc.COM CL A15,887$51.0K<0.1%−2,644−14.3%ReducedHistory
HNRGHallador Energy CoStock10,000$54.0K<0.1%+10,000NewHistory
JQCNuveen Credit Strategies Income FundCOM SHS10,411$54.0K<0.1%−1,307−11.2%ReducedHistory
LNDBrasilAgro - Brazilian Agricultural Real Estate CoSPONSORED ADR11,845$56.0K<0.1%−4,455−27.3%ReducedHistory
NVTAInvitae CorpCOM23,012$56.0K<0.1%+23,012NewHistory
CHSChico's Fas, Inc.COM11,500$57.0K<0.1%+11,500NewHistory
Adamas Trust, Inc.649604501COM PAR $.0220,648$57.0K<0.1%−20,846−50.2%Reduced–
IAFAbrdn Australia Equity Fund, Inc.COM12,853$59.0K<0.1%+32+0.2%AddedHistory
RIOTRiot Platforms, Inc.COM14,806$62.0K<0.1%−19,380−56.7%ReducedHistory
BTGB2GOLD CorpCOM18,236$62.0K<0.1%−6,244−25.5%ReducedHistory
Advisorshares Tr00768Y495PURE CANNABIS12,244$64.0K<0.1%−698−5.4%Reduced–
GTBPGT Biopharma, Inc.COM NEW21,400$64.0K<0.1%00.0%UnchangedHistory
MNTSMomentus Inc.COM CL A29,775$64.0K<0.1%+1,000+3.5%AddedHistory
SERSerina Therapeutics, Inc.COM116,650$67.0K<0.1%+29,000+33.1%AddedHistory
CDECoeur Mining, Inc.COM NEW22,350$68.0K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM18,979$69.0K<0.1%+1,059+5.9%AddedHistory
TUPTupperware Brands CorpCOM11,072$70.0K<0.1%+11,072NewHistory
HLHecla Mining CoCOM18,431$72.0K<0.1%−106,905−85.3%ReducedHistory
ANGIAngi Inc.COM CL A NEW15,700$72.0K<0.1%00.0%UnchangedHistory
NOKNokia CorpSPONSORED ADR16,165$75.0K<0.1%+94+0.6%AddedHistory
ORCOrchid Island Capital, Inc.COM26,216$75.0K<0.1%+185+0.7%AddedHistory
VVRInvesco Senior Income TrustCOM20,522$80.0K<0.1%+842+4.3%AddedHistory
CLVSClovis Oncology, Inc.COM44,498$80.0K<0.1%+13,000+41.3%AddedHistory
RWTRedwood Trust IncCOM10,510$81.0K<0.1%+10+0.1%AddedHistory
Portage Biotech IncG7185A128COM11,688$82.0K<0.1%+300+2.6%Added–
MBRXMoleculin Biotech, Inc.COM57,500$83.0K<0.1%00.0%UnchangedHistory
AGFirst Majestic Silver CorpCOM11,661$84.0K<0.1%−44,022−79.1%ReducedHistory
IGRCbre Global Real Estate Income FundCOM12,016$87.0K<0.1%+167+1.4%AddedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM12,563$97.0K<0.1%+2,256+21.9%AddedHistory
LTRNLantern Pharma Inc.COM17,600$100.0K<0.1%00.0%UnchangedHistory
AXIAYAXIA Energia S.A.SPONSORED ADR11,340$101.0K<0.1%+11,340NewHistory
DCGODocGo Inc.COM14,200$101.0K<0.1%+14,200NewHistory
JPCNuveen Preferred & Income Opportunities FundCOM13,566$104.0K<0.1%+13,566NewHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT11,389$105.0K<0.1%+107+0.9%AddedHistory
SOFISoFi Technologies, Inc.Stock20,679$109.0K<0.1%−4,371−17.4%ReducedHistory
GAPGap IncCOM13,275$109.0K<0.1%+13,275NewHistory
RESRPC IncCOM15,900$110.0K<0.1%−20,780−56.7%ReducedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM40,128$117.0K<0.1%+4,466+12.5%AddedHistory
EZPWEzcorp IncCL A NON VTG15,724$118.0K<0.1%+1,619+11.5%AddedHistory
HEQJohn Hancock Diversified Income FundCOM10,217$120.0K<0.1%+10,217NewHistory
NKLANikola CorpCOM25,209$120.0K<0.1%−160−0.6%ReducedHistory
SIRISirius XM Holdings Inc.COM19,590$120.0K<0.1%+252+1.3%AddedHistory
QUIKQUICKLOGIC CorpCOM NEW14,600$124.0K<0.1%+14,600NewHistory
QSQuantumScape CorpCOM CL A14,609$125.0K<0.1%+14,609NewHistory
KIOKKR Income Opportunities FundCOM10,991$128.0K<0.1%−1,926−14.9%ReducedHistory
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF28,754$130.0K<0.1%+28,754New–
NZFNuveen Municipal Credit Income FundCOM SH BEN INT10,462$131.0K<0.1%+10,462NewHistory
PLTRPalantir Technologies Inc.Stock14,561$132.0K<0.1%−3,305−18.5%ReducedHistory
PNTPOINT Biopharma Global Inc.COM19,480$133.0K<0.1%+4,765+32.4%AddedHistory
ECCEagle Point Credit CoCOM11,850$140.0K<0.1%+11,850NewHistory
GABGabelli Equity Trust IncCOM23,330$142.0K<0.1%+161+0.7%AddedHistory
FCELFuelcell Energy IncCOM37,975$142.0K<0.1%+342+0.9%AddedHistory
NAVINavient CorpCOM10,212$143.0K<0.1%+60+0.6%AddedHistory
CF Acquisition Corp VI12521J103COM CL A14,493$144.0K<0.1%−1,552−9.7%Reduced–
Advisorshares Tr00768Y453PURE US CANN ETF14,088$146.0K<0.1%+397+2.9%Added–
ONBOld National BancorpStock10,076$149.0K<0.1%+10,076NewHistory
PDOPIMCO Dynamic Income Opportunities FundCOM BEN SHS10,790$149.0K<0.1%+10,790NewHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT30,674$151.0K<0.1%+3,167+11.5%AddedHistory
CIMChimera Investment CorpCOM NEW17,288$152.0K<0.1%+3,529+25.6%AddedHistory
Two Harbors Investment Corp.90187B408COM NEW30,833$154.0K<0.1%+42+0.1%Added–
WOOFPetco Health & Wellness Company, Inc.CL A COM10,528$155.0K<0.1%−13,515−56.2%ReducedHistory
SWBISmith & Wesson Brands, Inc.COM11,917$156.0K<0.1%+100+0.8%AddedHistory
CHPTChargePoint Holdings, Inc.COM CL A11,384$156.0K<0.1%−27,276−70.6%ReducedHistory
NIDNuveen Intermediate Duration Municipal Term FundCOM12,000$156.0K<0.1%00.0%UnchangedHistory

Options (10)

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 2022
SecurityClassPutsCalls
Invesco QQQ Trust Series I46090E103ETF$70.3M–
SPYSPDR S&P 500 ETF TrustETF$55.5M$755.0K
AAPLApple Inc.Stock$328.0K$273.0K
MSFTMicrosoft CorpStock$257.0K$334.0K
GOOGAlphabet Inc.Stock–$219.0K
MRNAModerna, Inc.Stock$214.0K–
HRTXHeron Therapeutics, Inc.COM–$49.0K
FCELFuelcell Energy IncCOM–$47.0K
AGENAgenus IncCOM NEW–$35.0K
VHCVirnetX Holding CorpCOM–$13.0K

Sold out since Q1 2022 (177)

Positions held at the end of Q1 2022 that are gone from this filing.

The largest 100 of 177 by value last quarter.

Positions of Sigma Planning Corp sold out since Q1 2022
SecurityClassShares in Q1 2022Value in Q1 2022% of portfolio in Q1 2022History
iShares Tr4642874571 3 YR TREAS BD248,977$20.8M0.6%–
PEPPepsiCo IncStock46,572$7.79M0.2%History
SPDR Series Trust78464A755ST STR SP METAL81,789$5.01M0.2%–
BROBrown & Brown, Inc.Stock56,529$4.08M0.1%History
Invesco Exchange Traded FD T46137V290S&P500 EQL REL74,713$3.03M0.1%–
American Centy ETF Tr025072505DIVERSIFIED MU36,581$1.89M0.1%–
Vanguard World FD921910709EXTENDED DUR14,271$1.74M0.1%–
First Tr Exchange Traded FD33738R845NASDQ OIL GAS55,234$1.46M<0.1%–
First Tr Exchange Traded FD33734X812INDXX GLOBAL AGR39,333$1.31M<0.1%–
Invesco Exchange Traded FD T46137V761ENERG EXPL ETF46,739$1.30M<0.1%–
Vanguard Index FDS922908652EXTEND MKT ETF6,897$1.14M<0.1%–
MSTRStrategy IncStock2,040$992.0K<0.1%History
AAPAdvance Auto Parts IncCOM4,717$976.0K<0.1%History
iShares Tr464287622RUS 1000 ETF3,706$927.0K<0.1%–
iShares Inc46434G855MSCI GBL GOLD MN29,310$911.0K<0.1%–
GFIGold Fields LtdSPONSORED ADR58,646$907.0K<0.1%History
Vanguard Scottsdale FDS92206C565TOTAL WLD BD ETF10,870$806.0K<0.1%–
TASKTaskUs, Inc.CLASS A COM20,700$796.0K<0.1%History
MOSMosaic CoCOM11,847$788.0K<0.1%History
EXKEndeavour Silver CorpCOM143,460$667.0K<0.1%History
NGNovagold Resources IncCOM NEW85,752$663.0K<0.1%History
SSRMSSR Mining Inc.Stock30,278$659.0K<0.1%History
CSGPCostar Group, Inc.COM9,860$657.0K<0.1%History
Invesco Exch Traded FD Tr II46138E297S&P EMRNG MKTS25,205$651.0K<0.1%–
HMYHarmony Gold Mining Co LtdADR126,000$634.0K<0.1%History
UUnity Software Inc.COM6,299$625.0K<0.1%History
EQXEquinox Gold Corp.COM75,345$623.0K<0.1%History
UGIUgi CorpStock17,104$620.0K<0.1%History
AUAngloGold Ashanti PLCSPONSORED ADR24,334$576.0K<0.1%History
Invesco Exch Traded FD Tr II46138E164S&P SMLCP ENGY56,557$567.0K<0.1%–
MPLXMPLX LPCOM UNIT REP LTD16,682$554.0K<0.1%History
ZBRAZebra Technologies CorpCL A1,285$532.0K<0.1%History
AAAlcoa CorpStock5,826$525.0K<0.1%History
CPBCAMPBELL'S CoCOM11,657$520.0K<0.1%History
CHXChampionX CorpCOM20,600$504.0K<0.1%History
DJTTrump Media & Technology Group Corp.Stock7,740$499.0K<0.1%History
Osi ETF Tr67110P407OSHARES US QUALT10,332$454.0K<0.1%–
Flexshares Tr33939L829INT QLTDVDYNAM15,080$432.0K<0.1%–
PALLabrdn Palladium ETF TrustPHYSICAL PALLADM1,948$407.0K<0.1%History
ASMLASML Holding NVADR602$403.0K<0.1%History
Starboard Invt Tr85521B742ADAPTIVE ALPHA16,291$389.0K<0.1%–
CRCrane CoCOM3,579$388.0K<0.1%History
TNDMTandem Diabetes Care IncCOM NEW3,313$385.0K<0.1%History
ASOAcademy Sports & Outdoors, Inc.COM9,732$383.0K<0.1%History
AONAon plcCL A1,144$373.0K<0.1%History
SPDR Index Shs FDS78463X541ST STR NAT ETF5,655$355.0K<0.1%–
Kraneshares Tr500767587QUADRATIC DEFLA13,789$353.0K<0.1%–
TRGPTarga Resources Corp.COM4,520$341.0K<0.1%History
iShares Inc464286400MSCI BRAZIL ETF8,930$338.0K<0.1%–
CDWCDW CorpCOM1,879$336.0K<0.1%History
GHGuardant Health, Inc.COM4,932$327.0K<0.1%History
Flexshares Tr33939L605IBOXX 5YR TRGT11,848$321.0K<0.1%–
SCCOSouthern Copper CorpStock4,211$320.0K<0.1%History
ZENZendesk, Inc.COM2,650$319.0K<0.1%History
First Tr Exchange-Traded Alp33734Y109COM SHS3,470$318.0K<0.1%–
State Street SPDR S&P Semiconductor ETF78464A862ETF1,516$315.0K<0.1%–
EGLEEagle Bulk Shipping Inc.COM4,625$315.0K<0.1%History
Osi ETF Tr67110P704OSHS GBL INTER8,333$314.0K<0.1%–
WYNNWynn Resorts LtdCOM3,873$309.0K<0.1%History
SNAPSnap IncStock8,520$307.0K<0.1%History
Renaissance Cap Greenwich FD759937204IPO ETF6,890$304.0K<0.1%–
RCLRoyal Caribbean Cruises LtdCOM3,612$303.0K<0.1%History
UALUnited Airlines Holdings, Inc.COM6,358$295.0K<0.1%History
STRLSterling Infrastructure, Inc.COM10,950$293.0K<0.1%History
CNQCanadian Natural Resources LtdCOM4,694$291.0K<0.1%History
JKHYJack Henry & Associates IncStock1,421$280.0K<0.1%History
ICEIntercontinental Exchange, Inc.Stock2,102$278.0K<0.1%History
WisdomTree Tr97717Y691CLOUD COMPUTNG6,750$276.0K<0.1%–
ARTWArts Way Manufacturing Co IncCOM49,600$274.0K<0.1%History
PBCTPeople's United Financial, Inc.COM13,553$271.0K<0.1%History
RILYBRC Group Holdings, Inc.COM3,838$269.0K<0.1%History
Direxion Shares ETF Trust25459Y207NASDAQ 100 EQ WT3,471$268.0K<0.1%–
MURMurphy Oil CorpCOM6,605$267.0K<0.1%History
PENNPENN Entertainment, Inc.COM6,277$266.0K<0.1%History
DBX ETF Tr233051101XTRACK MSCI EMRG10,872$266.0K<0.1%–
Atlantica Sustainable Infr PG0751N103SHS7,587$266.0K<0.1%–
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF6,233$262.0K<0.1%–
STAGSTAG Industrial, Inc.COM6,280$260.0K<0.1%History
ARK Blockchain & Fintech Innovation ETF00214Q708ETF8,904$259.0K<0.1%–
SPDR Series Trust78464A656ST STR TIPS ETF8,571$259.0K<0.1%–
Invesco Exchange Traded FD T46137V472S&P MDCP QUALITY3,391$256.0K<0.1%–
EXPEExpedia Group, Inc.Stock1,297$254.0K<0.1%History
STMSTMicroelectronics N.V.NY REGISTRY5,884$254.0K<0.1%History
SOYBTeucrium Commodity TrustSOYBEAN FD9,390$251.0K<0.1%History
CHGGChegg, IncCOM6,878$250.0K<0.1%History
Global X FDS37954Y442CLOUD COMPUTNG11,273$248.0K<0.1%–
LHLabcorp Holdings Inc.COM NEW934$246.0K<0.1%History
Invesco Exch Traded FD Tr II46138E636INTL CORP BD9,670$245.0K<0.1%–
KKRKKR & Co. Inc.COM4,131$242.0K<0.1%History
AGCOAGCO CorpCOM1,626$238.0K<0.1%History
Amplify ETF Tr032108102ONLIN RETL ETF3,608$237.0K<0.1%–
Invesco Exchange Traded FD T46137V647SEMICONDUCTORS1,818$236.0K<0.1%–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620ETF4,270$235.0K<0.1%–
CTASCintas CorpStock544$232.0K<0.1%History
Vanguard Admiral FDS Inc921932844MIDCP 400 VAL1,385$232.0K<0.1%–
MNSTMonster Beverage CorpCOM2,892$231.0K<0.1%History
PFGPrincipal Financial Group IncCOM3,150$231.0K<0.1%History
BBYBest Buy Co IncStock2,534$230.0K<0.1%History
First Tr Exchange-Traded FD33734X853INTL EQUITY OPP4,693$229.0K<0.1%–
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,000$229.0K<0.1%History