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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
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT19,455$157.0K<0.1%+55+0.3%AddedHistory
ABRArbor Realty Trust IncCOM11,960$157.0K<0.1%+1,634+15.8%AddedHistory
Amplify ETF Tr032108847CEF HIGH INCOME12,638$160.0K<0.1%−5,132−28.9%Reduced–
MTTRMatterport, Inc.COM CL A43,785$160.0K<0.1%+8,865+25.4%AddedHistory
TPVGTriplePoint Venture Growth BDC Corp.COM12,667$161.0K<0.1%+12,667NewHistory
VMOInvesco Municipal Opportunity TrustCOM15,736$163.0K<0.1%+146+0.9%AddedHistory
GFNew Germany Fund IncCOM19,326$163.0K<0.1%+1,474+8.3%AddedHistory
VODVodafone Group Public Ltd CoADR10,736$167.0K<0.1%−234−2.1%ReducedHistory
SLRCSLR Investment Corp.COM11,551$169.0K<0.1%−578−4.8%ReducedHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF13,097$172.0K<0.1%−316−2.4%ReducedHistory
HSTHost Hotels & Resorts, Inc.COM11,030$173.0K<0.1%+11,030NewHistory
ATOMAtomera IncCOM18,550$174.0K<0.1%+2,170+13.2%AddedHistory
EFCEllington Financial Inc.COM12,167$178.0K<0.1%+729+6.4%AddedHistory
CMLSQCumulus Media IncCOM CL A23,022$178.0K<0.1%−3,978−14.7%ReducedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$179.0K<0.1%00.0%Unchanged–
HPSJohn Hancock Preferred Income Fund IIICOM11,492$181.0K<0.1%−496−4.1%ReducedHistory
JRONuveen Floating Rate Income Opportunity FundCOM SHS22,246$182.0K<0.1%+726+3.4%AddedHistory
Prospect Cap Corp74348TAR3NOTE 4.950% 7/1188,000$189.0K<0.1%+109,000+138.0%Added–
EVVEaton Vance Ltd Duration Income FundCOM18,376$190.0K<0.1%−8,407−31.4%ReducedHistory
AGNCAGNC Investment Corp.REIT17,243$191.0K<0.1%+656+4.0%AddedHistory
BBNBlackRock Taxable Municipal Bond TrustSHS10,010$192.0K<0.1%−3,469−25.7%ReducedHistory
OXLCOxford Lane Capital Corp.COM33,832$192.0K<0.1%+33,832NewHistory
Health Assurn Acquisition Co42226W208UNIT 99/99/999919,575$194.0K<0.1%00.0%Unchanged–
SONOSonos IncCOM10,798$195.0K<0.1%00.0%UnchangedHistory
BTZBlackRock Credit Allocation Income TrustCOM18,294$199.0K<0.1%−2,053−10.1%ReducedHistory
BKNGBooking Holdings Inc.Stock114$201.0K<0.1%−1−0.9%ReducedHistory
EFREaton Vance Senior Floating-Rate TrustCOM16,373$201.0K<0.1%+3,530+27.5%AddedHistory
First Tr Exchng Traded FD VI33740F862FT VEST US EQT5,805$201.0K<0.1%+300+5.4%Added–
WisdomTree Tr97717X669US QTLY DIV GRT3,504$201.0K<0.1%+158+4.7%Added–
EDITEditas Medicine, Inc.COM17,059$202.0K<0.1%+2,187+14.7%AddedHistory
XXII22nd Century Group, Inc.COM95,100$203.0K<0.1%00.0%UnchangedHistory
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF1,787$204.0K<0.1%−15,125−89.4%Reduced–
EAElectronic Arts Inc.COM1,677$204.0K<0.1%−4,972−74.8%ReducedHistory
CPCanadian Pacific Kansas City LtdCOM2,925$204.0K<0.1%−458−13.5%ReducedHistory
HIIHuntington Ingalls Industries, Inc.COM943$205.0K<0.1%+943NewHistory
Dimensional U.S. Core Equity 2 ETF25434V708ETF8,895$207.0K<0.1%+10.0%Added–
APAAPA CorpStock5,941$207.0K<0.1%+883+17.5%AddedHistory
AGOAssured Guaranty LtdCOM3,703$207.0K<0.1%−199−5.1%ReducedHistory
LANDGladstone Land CorpCOM9,346$207.0K<0.1%+595+6.8%AddedHistory
SAMBoston Beer Co IncCL A690$209.0K<0.1%−17−2.4%ReducedHistory
HQHabrdn Healthcare InvestorsSH BEN INT11,177$209.0K<0.1%+11,177NewHistory
LYVLive Nation Entertainment, Inc.COM2,530$209.0K<0.1%−45−1.7%ReducedHistory
BBWBuild-A-Bear Workshop IncCOM12,786$210.0K<0.1%−4,742−27.1%ReducedHistory
ARLPAlliance Resource Partners LPStock11,579$211.0K<0.1%−1,021−8.1%ReducedHistory
VanEck ETF Trust92189H805RARE EARTH AND S2,437$212.0K<0.1%−53−2.1%Reduced–
IRIngersoll Rand Inc.COM5,037$212.0K<0.1%−128−2.5%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J775BLOO PRI PWR ETF3,351$213.0K<0.1%−1,728−34.0%Reduced–
ProShares Tr74348A541HGH YLD INT RATE3,753$213.0K<0.1%+144+4.0%Added–
JPMorgan Chase & Co46625H365ALERIAN ML ETN11,283$214.0K<0.1%00.0%Unchanged–
Advisorshares Tr00768Y438Q DYNAMIC GROWTH9,850$216.0K<0.1%−1,500−13.2%Reduced–
Innovator ETFs Trust45782C367INTRNL DEV APRL9,518$217.0K<0.1%+9,518New–
Northern LTS FD Tr IV66538H393INSPIRE TACTICAL9,025$217.0K<0.1%−200−2.2%Reduced–
First Tr Exchng Traded FD VI33740U307FT VEST US EQT6,837$218.0K<0.1%00.0%Unchanged–
ETF Managers Tr26924G102PRIME JUNIR SLVR22,877$218.0K<0.1%−11,500−33.5%Reduced–
EXRExtra Space Storage Inc.COM1,288$219.0K<0.1%−1,770−57.9%ReducedHistory
DOVDOVER CorpCOM1,805$219.0K<0.1%+11+0.6%AddedHistory
NBBNuveen Taxable Municipal Income FundCOM12,300$219.0K<0.1%+12,300NewHistory
GIBCgi IncCL A2,772$221.0K<0.1%+2,772NewHistory
INABIN8BIO, Inc.COM97,750$221.0K<0.1%00.0%UnchangedHistory
Global X FDS37954Y848GLOBAL X SILVER8,567$222.0K<0.1%00.0%Unchanged–
UTLUnitil CorpCOM3,778$222.0K<0.1%+3,778NewHistory
Amplify Blockchain Technology ETF032108607ETF12,326$223.0K<0.1%−336−2.7%Reduced–
BENFranklin Templeton IncCOM9,583$223.0K<0.1%+559+6.2%AddedHistory
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF6,148$223.0K<0.1%−1,058−14.7%Reduced–
GLUGabelli Global Utility & Income TrustCOM SH BEN INT13,842$223.0K<0.1%+220+1.6%AddedHistory
FRPTFreshpet, Inc.Stock4,310$224.0K<0.1%−137−3.1%ReducedHistory
ZZillow Group, Inc.CL C CAP STK7,065$224.0K<0.1%−40−0.6%ReducedHistory
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM26,905$225.0K<0.1%+647+2.5%AddedHistory
KEYKeycorpCOM13,079$225.0K<0.1%+207+1.6%AddedHistory
SNYSanofiSPONSORED ADR4,501$225.0K<0.1%+436+10.7%AddedHistory
iShares Tr464288844US OIL EQ&SV ETF14,071$225.0K<0.1%−1,347−8.7%Reduced–
RHPRyman Hospitality Properties, Inc.COM2,995$228.0K<0.1%−61−2.0%ReducedHistory
BGBunge Global SACOM2,510$228.0K<0.1%−4,089−62.0%ReducedHistory
DYDycom Industries IncCOM2,460$229.0K<0.1%−3,916−61.4%ReducedHistory
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW5,166$230.0K<0.1%−226−4.2%Reduced–
iShares Tr464287333GLOBAL FINLS ETF3,496$230.0K<0.1%−4,055−53.7%Reduced–
WisdomTree Tr97717Y790US EFFIC CORE FD6,929$231.0K<0.1%−733−9.6%Reduced–
TSITCW Strategic Income Fund IncCOM47,758$231.0K<0.1%+600+1.3%AddedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS25,841$232.0K<0.1%+3,912+17.8%AddedHistory
RYRoyal Bank of CanadaStock2,406$233.0K<0.1%+147+6.5%AddedHistory
Invesco Exchange Traded FD T46137V738LARGE CAP VALUE5,336$233.0K<0.1%−162−2.9%Reduced–
MTBM&T Bank CorpCOM1,470$234.0K<0.1%+1,470NewHistory
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,212$235.0K<0.1%+3+0.1%Added–
KDPKeurig Dr Pepper Inc.COM6,642$235.0K<0.1%−3,409−33.9%ReducedHistory
WBSWebster Financial CorpCOM5,579$235.0K<0.1%00.0%UnchangedHistory
VanEck ETF Trust92189F429PREFERRED SECURT12,967$235.0K<0.1%−216−1.6%Reduced–
iShares Tr46436E569ESG SELECT SCRE8,272$235.0K<0.1%+514+6.6%Added–
ALLEAllegion plcORD SHS2,418$237.0K<0.1%00.0%UnchangedHistory
Fidelity Covington Trust316092386STOCK FOR INFL8,137$237.0K<0.1%+8,137New–
BDJBlackRock Enhanced Equity Dividend TrustCOM27,090$239.0K<0.1%−371−1.4%ReducedHistory
OLNOLIN CorpStock5,210$241.0K<0.1%−219−4.0%ReducedHistory
SPDR Series Trust78468R721STATE STREET SPD5,255$241.0K<0.1%−159−2.9%Reduced–
iShares Tr46436E874IBONDS 24 TRM TS9,853$241.0K<0.1%+9,853New–
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM15,500$243.0K<0.1%00.0%UnchangedHistory
BNSBank of Nova ScotiaCOM4,104$243.0K<0.1%+7+0.2%AddedHistory
Innovator ETFs Trust45783Y756LADDERED ALC BFR10,900$243.0K<0.1%+10,900New–
CHYCalamos Convertible & High Income FundCOM SHS21,785$243.0K<0.1%+252+1.2%AddedHistory
EVGEaton Vance Short Duration Diversified Income FundCOM22,566$243.0K<0.1%+2,006+9.8%AddedHistory
DSLDoubleLine Income Solutions FundCOM20,013$243.0K<0.1%−4,459−18.2%ReducedHistory
PFCPremier Financial CorpCOM9,582$243.0K<0.1%+8+0.1%AddedHistory

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