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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 10, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
1,251
−24 vs. Q2 2022
Portfolio value
$2.61B
−$134.5M (−4.9%) vs. Q2 2022
Filed
Nov 10, 2022
SEC
Holdings of Sigma Planning Corp in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
AMPEAmpio Pharmaceuticals, Inc.COM17,442$1.00K<0.1%00.0%UnchangedHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20217,452$2.00K<0.1%+1,638+10.4%AddedHistory
TLPHTalphera, Inc.COM10,000$2.00K<0.1%−2,900−22.5%ReducedHistory
AYTUAytu Biopharma, IncCOM NEW16,996$3.00K<0.1%+16,996NewHistory
WTERAlkaline Water Co IncCOM NEW12,300$4.00K<0.1%+12,300NewHistory
REEDReed's, Inc.COM30,445$4.00K<0.1%+300+1.0%AddedHistory
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$5.00K<0.1%00.0%UnchangedHistory
CFORCapForce Inc.COM17,500$5.00K<0.1%00.0%UnchangedHistory
LOGCContextLogic Inc.COM CL A10,500$8.00K<0.1%00.0%UnchangedHistory
Avaya Hldgs Corp05351XAB7NOTE 2.250% 6/120,000$9.00K<0.1%00.0%Unchanged–
Bitfarms Ltd Com09173B107Stock10,000$11.0K<0.1%00.0%Unchanged–
WPRTWestport Fuel Systems Inc.COM NEW13,200$12.0K<0.1%+1,000+8.2%AddedHistory
HCDIHarbor Custom Development, Inc.COM16,503$15.0K<0.1%+2,500+17.9%AddedHistory
ZOMDFZomedica Corp.COM81,750$17.0K<0.1%−1,000−1.2%ReducedHistory
CLOVClover Health Investments, Corp.COM CL A10,700$18.0K<0.1%00.0%UnchangedHistory
ONCTOncternal Therapeutics, Inc.COM20,025$18.0K<0.1%00.0%UnchangedHistory
STEXStreamex Corp.COM NEW29,000$19.0K<0.1%+2,000+7.4%AddedHistory
SQFTPresidio Property Trust, Inc.COM CL A15,914$20.0K<0.1%+27+0.2%AddedHistory
CORZCore Scientific, Inc.COMMON STOCK18,500$24.0K<0.1%+18,500NewHistory
AGENAgenus IncCOM NEW12,100$25.0K<0.1%−725−5.7%ReducedHistory
NVTAInvitae CorpCOM10,692$26.0K<0.1%−12,320−53.5%ReducedHistory
SDCSmileDirectClub, Inc.CL A COM29,284$27.0K<0.1%00.0%UnchangedHistory
OPKOpko Health, Inc.COM15,402$29.0K<0.1%00.0%UnchangedHistory
PLGPlatinum Group Metals LtdCOM18,500$30.0K<0.1%−1,000−5.1%ReducedHistory
AQMSAqua Metals, Inc.COM41,150$31.0K<0.1%+1,350+3.4%AddedHistory
TELLTellurian Inc.COM14,330$34.0K<0.1%+3,600+33.6%AddedHistory
XCURExicure, Inc.COM NEW21,807$34.0K<0.1%+21,807NewHistory
TRXTRX GOLD CorpCOM91,505$36.0K<0.1%+91,505NewHistory
AMRSAmyris, Inc.COM NEW12,587$37.0K<0.1%+81+0.6%AddedHistory
GTBPGT Biopharma, Inc.COM NEW21,395$38.0K<0.1%−50.0%ReducedHistory
EVGNEvogene Ltd.SHS45,363$38.0K<0.1%+13,553+42.6%AddedHistory
CGCCanopy Growth CorpCOM14,300$39.0K<0.1%−50.0%ReducedHistory
OGIOrganigram Global Inc.COM47,481$41.0K<0.1%+2,993+6.7%AddedHistory
RIGTransocean Ltd.REGISTERED SHS17,289$43.0K<0.1%+3,305+23.6%AddedHistory
TTITetra Technologies IncCOM12,331$44.0K<0.1%00.0%UnchangedHistory
BTGB2GOLD CorpCOM14,265$46.0K<0.1%−3,971−21.8%ReducedHistory
NSLNuveen Senior Income FundCOM10,365$48.0K<0.1%00.0%UnchangedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/051,000$48.0K<0.1%+51,000New–
ANGIAngi Inc.COM CL A NEW16,700$49.0K<0.1%+1,000+6.4%AddedHistory
Advisorshares Tr00768Y495PURE CANNABIS11,524$49.0K<0.1%−720−5.9%Reduced–
IAFAbrdn Australia Equity Fund, Inc.COM12,885$52.0K<0.1%+32+0.2%AddedHistory
TLRYTilray Brands, Inc.COM CL 218,891$52.0K<0.1%+3,275+21.0%AddedHistory
IBRXImmunityBio, Inc.COM10,750$53.0K<0.1%00.0%UnchangedHistory
HNRGHallador Energy CoStock10,000$56.0K<0.1%00.0%UnchangedHistory
CHSChico's Fas, Inc.COM11,500$56.0K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM19,035$57.0K<0.1%+56+0.3%AddedHistory
RWTRedwood Trust IncCOM10,526$60.0K<0.1%+16+0.2%AddedHistory
MBRXMoleculin Biotech, Inc.COM57,500$61.0K<0.1%00.0%UnchangedHistory
CLVSClovis Oncology, Inc.COM52,148$62.0K<0.1%+7,650+17.2%AddedHistory
MNTSMomentus Inc.COM CL A47,775$65.0K<0.1%+18,000+60.5%AddedHistory
SERSerina Therapeutics, Inc.COM117,200$66.0K<0.1%+550+0.5%AddedHistory
IGRCbre Global Real Estate Income FundCOM12,969$75.0K<0.1%+953+7.9%AddedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,300$75.0K<0.1%−2,263−18.0%ReducedHistory
TUPTupperware Brands CorpCOM11,377$75.0K<0.1%+305+2.8%AddedHistory
VVRInvesco Senior Income TrustCOM20,903$78.0K<0.1%+381+1.9%AddedHistory
XXII22nd Century Group, Inc.COM85,600$79.0K<0.1%−9,500−10.0%ReducedHistory
Portage Biotech IncG7185A128COM11,688$80.0K<0.1%00.0%Unchanged–
NOKNokia CorpSPONSORED ADR19,417$83.0K<0.1%+3,252+20.1%AddedHistory
LTRNLantern Pharma Inc.COM17,500$84.0K<0.1%−100−0.6%ReducedHistory
NKLANikola CorpCOM25,159$89.0K<0.1%−50−0.2%ReducedHistory
JPCNuveen Preferred & Income Opportunities FundCOM13,601$95.0K<0.1%+35+0.3%AddedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT11,389$101.0K<0.1%00.0%UnchangedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM40,160$101.0K<0.1%+32+0.1%AddedHistory
BBDCBarings BDC, Inc.COM12,258$101.0K<0.1%+12,258NewHistory
CIMChimera Investment CorpCOM NEW19,620$102.0K<0.1%+2,332+13.5%AddedHistory
PCTPureCycle Technologies, Inc.COM12,730$103.0K<0.1%+12,730NewHistory
SOFISoFi Technologies, Inc.Stock21,862$107.0K<0.1%+1,183+5.7%AddedHistory
EZPWEzcorp IncCL A NON VTG13,987$108.0K<0.1%−1,737−11.0%ReducedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS13,483$109.0K<0.1%+13,483NewHistory
VMOInvesco Municipal Opportunity TrustCOM12,186$111.0K<0.1%−3,550−22.6%ReducedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT15,680$112.0K<0.1%−3,775−19.4%ReducedHistory
NMZNuveen Municipal High Income Opportunity FundCOM10,933$112.0K<0.1%+10,933NewHistory
SIRISirius XM Holdings Inc.COM19,645$112.0K<0.1%+55+0.3%AddedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT29,539$113.0K<0.1%−1,135−3.7%ReducedHistory
Harbor Custom Development IN41150T2078% CONV PFD SR A10,300$114.0K<0.1%+10,300New–
VODVodafone Group Public Ltd CoADR10,159$115.0K<0.1%−577−5.4%ReducedHistory
NADNuveen Quality Municipal Income FundCOM10,458$115.0K<0.1%+10,458NewHistory
JRINuveen Real Asset Income & Growth FundCOM10,282$115.0K<0.1%+10,282NewHistory
TPICQTpi Composites, IncCOM10,201$115.0K<0.1%+10,201NewHistory
Two Harbors Investment Corp.90187B408COM NEW35,053$116.0K<0.1%+4,220+13.7%Added–
CDECoeur Mining, Inc.COM NEW34,876$119.0K<0.1%+12,526+56.0%AddedHistory
NZFNuveen Municipal Credit Income FundCOM SH BEN INT10,471$119.0K<0.1%+9+0.1%AddedHistory
HEQJohn Hancock Diversified Income FundCOM10,217$120.0K<0.1%00.0%UnchangedHistory
WOOFPetco Health & Wellness Company, Inc.CL A COM10,788$120.0K<0.1%+260+2.5%AddedHistory
Advisorshares Tr00768Y453PURE US CANN ETF13,593$121.0K<0.1%−495−3.5%Reduced–
SWBISmith & Wesson Brands, Inc.COM11,947$124.0K<0.1%+30+0.3%AddedHistory
QSQuantumScape CorpCOM CL A14,920$125.0K<0.1%+311+2.1%AddedHistory
KIOKKR Income Opportunities FundCOM11,229$128.0K<0.1%+238+2.2%AddedHistory
GAPGap IncCOM15,746$129.0K<0.1%+2,471+18.6%AddedHistory
GABGabelli Equity Trust IncCOM23,509$129.0K<0.1%+179+0.8%AddedHistory
FCELFuelcell Energy IncCOM38,215$130.0K<0.1%+240+0.6%AddedHistory
EVGOEVgo Inc.CL A COM16,716$132.0K<0.1%+16,716NewHistory
GFNew Germany Fund IncCOM19,326$135.0K<0.1%00.0%UnchangedHistory
PLTRPalantir Technologies Inc.Stock16,811$137.0K<0.1%+2,250+15.5%AddedHistory
DCGODocGo Inc.COM14,200$141.0K<0.1%00.0%UnchangedHistory
SLRCSLR Investment Corp.COM11,565$142.0K<0.1%+14+0.1%AddedHistory
Fidelity Covington Trust316092337FIDELITY FUND LR11,217$143.0K<0.1%+11,217New–
ABRArbor Realty Trust IncCOM12,419$143.0K<0.1%+459+3.8%AddedHistory
OXLCOxford Lane Capital Corp.COM28,186$146.0K<0.1%−5,646−16.7%ReducedHistory
RQICohen & Steers Quality Income Realty Fund IncCEF13,176$148.0K<0.1%−14,350−52.1%ReducedHistory

Options (9)

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 2022
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$6.00M$1.39M
Invesco QQQ Trust Series I46090E103ETF$401.0K–
BFHBread Financial Holdings, Inc.COM$355.0K–
OLEDUniversal Display CorpCOM$349.0K–
MSFTMicrosoft CorpStock–$256.0K
BIGGQFormer BL Stores IncCOM$173.0K–
FCELFuelcell Energy IncCOM–$43.0K
AGENAgenus IncCOM NEW–$29.0K
VHCVirnetX Holding CorpCOM–$15.0K

Sold out since Q2 2022 (99)

Positions held at the end of Q2 2022 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
Pacer FDS Tr69374H568SWAN SOS FD OF203,906$4.28M0.2%–
GSKGSK plcSPONSORED ADR55,700$2.42M0.1%History
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE23,653$1.45M0.1%–
Invesco Exchange Traded FD T46137V548INTL DIVI ACHI78,903$1.35M<0.1%–
Schwab US Aggregate Bond ETF808524839ETF22,966$1.10M<0.1%–
BECNQxo Building Products, Inc.COM14,473$743.0K<0.1%History
iShares Tr464288851US OIL GS EX ETF8,105$631.0K<0.1%–
First Tr Exchange-Traded FD33734X168MATERIALS ALPH11,148$630.0K<0.1%–
LCIDLucid Group, Inc.COM35,357$607.0K<0.1%History
LNTHLantheus Holdings, Inc.Stock9,100$601.0K<0.1%History
THOThor Industries IncCOM7,343$549.0K<0.1%History
WRBBerkley W R CorpCOM7,932$541.0K<0.1%History
Healthcare Realty Trust Inc42225P501CL A NEW19,226$537.0K<0.1%–
HFROHighland Opportunities & Income FundHIGHLAND INCOME46,000$518.0K<0.1%History
WisdomTree Tr97717X578EM EX ST-OWNED16,839$483.0K<0.1%–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF11,701$467.0K<0.1%–
TDWTidewater IncCOM21,899$462.0K<0.1%History
First Tr Exchange-Traded FD33738R712DORSEYWRGT ETF17,705$449.0K<0.1%–
DOCUDocuSign, Inc.Stock7,238$415.0K<0.1%History
WABWestinghouse Air Brake Technologies CorpStock4,969$408.0K<0.1%History
Kraneshares Trust500767405BOSERA MSCI CHIN10,299$400.0K<0.1%–
LILi Auto Inc.SPONSORED ADS10,090$387.0K<0.1%History
TELFYTelefonica S ASPONSORED ADR73,804$379.0K<0.1%History
Schwab U.S. Small-Cap ETF808524607ETF9,644$376.0K<0.1%–
BWABorgwarner IncCOM11,003$367.0K<0.1%History
UPSTUpstart Holdings, Inc.COM11,296$357.0K<0.1%History
LTHMLivent Corp.COM15,736$357.0K<0.1%History
YAlleghany CorpCOM423$352.0K<0.1%History
Pacer FDS Tr69374H709GLOBL CASH ETF11,378$350.0K<0.1%–
CBOECboe Global Markets, Inc.COM3,063$347.0K<0.1%History
TEAMAtlassian CorpCL A1,793$336.0K<0.1%History
ROCCBaytex Energy USA, Inc.COM9,875$325.0K<0.1%History
Kraneshares Trust500767306CSI CHI INTERNET9,698$318.0K<0.1%–
RGLDRoyal Gold IncStock2,936$314.0K<0.1%History
SMGScotts Miracle-Gro CoStock3,823$302.0K<0.1%History
iShares Tr464287184CHINA LG-CAP ETF8,561$290.0K<0.1%–
RNRRenaissancere Holdings LtdCOM1,837$287.0K<0.1%History
OGNOrganon & Co.Stock8,445$285.0K<0.1%History
PAASPan American Silver CorpStock14,429$284.0K<0.1%History
VRSKVerisk Analytics, Inc.COM1,639$284.0K<0.1%History
First Tr Exchange-Traded Alp33737M300SML CP GRW ALP5,235$284.0K<0.1%–
TERTeradyne, IncStock3,156$283.0K<0.1%History
FIXComfort Systems USA IncCOM3,363$280.0K<0.1%History
Yamana Gold Inc98462Y100COM59,646$277.0K<0.1%–
CLMBClimb Global Solutions, Inc.COM8,250$274.0K<0.1%History
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC4,004$272.0K<0.1%–
iShares Inc46434G822MSCI JAPAN ETF4,885$258.0K<0.1%–
Vanguard Intl Equity Index F922042866FTSE PACIFIC ETF4,054$257.0K<0.1%–
IIINInsteel Industries IncCOM7,544$254.0K<0.1%History
WisdomTree Tr97717X511YIELD ENHANCD US5,648$253.0K<0.1%–
ESGREnstar Group LTDSHS1,175$251.0K<0.1%History
ELMEElme CommunitiesSH BEN INT11,721$250.0K<0.1%History
Nuveen PFD & Incm Securties67072C105COM34,471$250.0K<0.1%–
PDDPDD Holdings Inc.SPONSORED ADS3,969$245.0K<0.1%History
ETF Ser Solutions26922B709APTUS INT ENH YL12,169$244.0K<0.1%–
RYRoyal Bank of CanadaStock2,406$233.0K<0.1%History
WisdomTree Tr97717Y790US EFFIC CORE FD6,929$231.0K<0.1%–
iShares Tr464287333GLOBAL FINLS ETF3,496$230.0K<0.1%–
RHPRyman Hospitality Properties, Inc.COM2,995$228.0K<0.1%History
SNYSanofiSPONSORED ADR4,501$225.0K<0.1%History
FRPTFreshpet, Inc.Stock4,310$224.0K<0.1%History
ZZillow Group, Inc.CL C CAP STK7,065$224.0K<0.1%History
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF6,148$223.0K<0.1%–
UTLUnitil CorpCOM3,778$222.0K<0.1%History
EXRExtra Space Storage Inc.COM1,288$219.0K<0.1%History
Innovator ETFs Trust45782C367INTRNL DEV APRL9,518$217.0K<0.1%–
Advisorshares Tr00768Y438Q DYNAMIC GROWTH9,850$216.0K<0.1%–
ARLPAlliance Resource Partners LPStock11,579$211.0K<0.1%History
HQHabrdn Healthcare InvestorsSH BEN INT11,177$209.0K<0.1%History
LYVLive Nation Entertainment, Inc.COM2,530$209.0K<0.1%History
APAAPA CorpStock5,941$207.0K<0.1%History
AGOAssured Guaranty LtdCOM3,703$207.0K<0.1%History
LANDGladstone Land CorpCOM9,346$207.0K<0.1%History
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF1,787$204.0K<0.1%–
EAElectronic Arts Inc.COM1,677$204.0K<0.1%History
BKNGBooking Holdings Inc.Stock114$201.0K<0.1%History
WisdomTree Tr97717X669US QTLY DIV GRT3,504$201.0K<0.1%–
Prospect Cap Corp74348TAR3NOTE 4.950% 7/1188,000$189.0K<0.1%–
HSTHost Hotels & Resorts, Inc.COM11,030$173.0K<0.1%History
Amplify ETF Tr032108847CEF HIGH INCOME12,638$160.0K<0.1%–
CHPTChargePoint Holdings, Inc.COM CL A11,384$156.0K<0.1%History
PDOPIMCO Dynamic Income Opportunities FundCOM BEN SHS10,790$149.0K<0.1%History
CF Acquisition Corp VI12521J103COM CL A14,493$144.0K<0.1%–
NAVINavient CorpCOM10,212$143.0K<0.1%History
ECCEagle Point Credit CoCOM11,850$140.0K<0.1%History
PNTPOINT Biopharma Global Inc.COM19,480$133.0K<0.1%History
QUIKQUICKLOGIC CorpCOM NEW14,600$124.0K<0.1%History
RESRPC IncCOM15,900$110.0K<0.1%History
AXIAYAXIA Energia S.A.SPONSORED ADR11,340$101.0K<0.1%History
ORCOrchid Island Capital, Inc.COM26,216$75.0K<0.1%History
Adamas Trust, Inc.649604501COM PAR $.0220,648$57.0K<0.1%–
LNDBrasilAgro - Brazilian Agricultural Real Estate CoSPONSORED ADR11,845$56.0K<0.1%History
JQCNuveen Credit Strategies Income FundCOM SHS10,411$54.0K<0.1%History
LYGLloyds Banking Group plcSPONSORED ADR17,347$35.0K<0.1%History
ASRTAssertio Holdings, Inc.COM NEW11,000$32.0K<0.1%History
ABUSArbutus Biopharma CorpCOM11,000$30.0K<0.1%History
HOFVHall of Fame Resort & Entertainment CoCOM23,800$14.0K<0.1%History
CHGAChange Agents Corporation.COM11,265$5.00K<0.1%History
Second Sight Med Prods Inc81362J126*W EXP 03/14/20219,056$5.00K<0.1%–