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Livermore
Livermore
ZHEN

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
NIDNuveen Intermediate Duration Municipal Term FundCOM12,000$148.0K<0.1%00.0%UnchangedHistory
EVVEaton Vance Ltd Duration Income FundCOM16,199$149.0K<0.1%−2,177−11.8%ReducedHistory
SONOSonos IncCOM10,798$150.0K<0.1%00.0%UnchangedHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF13,156$154.0K<0.1%+59+0.5%AddedHistory
FBRTFranklin BSP Realty Trust, Inc.COMMON STOCK14,506$156.0K<0.1%+14,506NewHistory
BBWBuild-A-Bear Workshop IncCOM11,773$157.0K<0.1%−1,013−7.9%ReducedHistory
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM10,600$158.0K<0.1%+10,600NewHistory
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM10,538$158.0K<0.1%−4,962−32.0%ReducedHistory
CMLSQCumulus Media IncCOM CL A22,822$160.0K<0.1%−200−0.9%ReducedHistory
iShares Tr464288844US OIL EQ&SV ETF11,308$163.0K<0.1%−2,763−19.6%Reduced–
ONBOld National BancorpStock10,081$166.0K<0.1%+50.0%AddedHistory
MTTRMatterport, Inc.COM CL A45,460$172.0K<0.1%+1,675+3.8%AddedHistory
BBNBlackRock Taxable Municipal Bond TrustSHS10,523$173.0K<0.1%+513+5.1%AddedHistory
HPSJohn Hancock Preferred Income Fund IIICOM11,518$173.0K<0.1%+26+0.2%AddedHistory
Golden Ocean Group LtdG39637205SHS NEW23,400$175.0K<0.1%+1,378+6.3%Added–
BTZBlackRock Credit Allocation Income TrustCOM18,708$178.0K<0.1%+414+2.3%AddedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$178.0K<0.1%00.0%Unchanged–
DJTWWTrump Media & Technology Group Corp.*W EXP 03/25/20249,705$179.0K<0.1%+490+1.0%AddedHistory
EFREaton Vance Senior Floating-Rate TrustCOM16,179$180.0K<0.1%−194−1.2%ReducedHistory
EFCEllington Financial Inc.COM16,198$184.0K<0.1%+4,031+33.1%AddedHistory
IRTIndependence Realty Trust, Inc.COM11,130$186.0K<0.1%−8,226−42.5%ReducedHistory
JRONuveen Floating Rate Income Opportunity FundCOM SHS23,246$187.0K<0.1%+1,000+4.5%AddedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT13,447$188.0K<0.1%−395−2.9%ReducedHistory
AGNCAGNC Investment Corp.REIT22,602$190.0K<0.1%+5,359+31.1%AddedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS21,965$191.0K<0.1%−3,876−15.0%ReducedHistory
BDJBlackRock Enhanced Equity Dividend TrustCOM23,732$192.0K<0.1%−3,358−12.4%ReducedHistory
Health Assurn Acquisition Co42226W208UNIT 99/99/999919,220$192.0K<0.1%−355−1.8%Reduced–
SCWO374Water Inc.Common Stock67,833$192.0K<0.1%+67,833NewHistory
VanEck ETF Trust92189F429PREFERRED SECURT11,290$194.0K<0.1%−1,677−12.9%Reduced–
RUMRUM Group Inc.Stock15,961$196.0K<0.1%+15,961NewHistory
GSLGlobal Ship Lease, Inc.COM CL A12,534$198.0K<0.1%+12,534NewHistory
HLNHaleon plcADR32,711$199.0K<0.1%+32,711NewHistory
PBIPitney Bowes IncCOM85,350$199.0K<0.1%+1,663+2.0%AddedHistory
INABIN8BIO, Inc.COM98,750$199.0K<0.1%+1,000+1.0%AddedHistory
CPCanadian Pacific Kansas City LtdCOM3,006$201.0K<0.1%+81+2.8%AddedHistory
CNXCConcentrix CorpStock1,809$202.0K<0.1%00.0%UnchangedHistory
PEverpure, Inc.CL A7,398$202.0K<0.1%−4,700−38.8%ReducedHistory
First Tr Exchng Traded FD VI33740F862FT VEST US EQT6,170$203.0K<0.1%+365+6.3%Added–
Vanguard Scottsdale FDS92206C706INTER TERM TREAS3,480$203.0K<0.1%+3,480New–
EDITEditas Medicine, Inc.COM16,615$203.0K<0.1%−444−2.6%ReducedHistory
GNLGlobal Net Lease, Inc.COM NEW19,170$204.0K<0.1%−4,019−17.3%ReducedHistory
HOGHarley-Davidson, Inc.COM5,840$204.0K<0.1%+5,840NewHistory
CQPCheniere Energy Partners, L.P.COM UNIT3,830$204.0K<0.1%+3,830NewHistory
ATOMAtomera IncCOM20,100$204.0K<0.1%+1,550+8.4%AddedHistory
Vanguard Mortgage-Backed Securities ETF92206C771ETF4,550$205.0K<0.1%−903−16.6%Reduced–
DOXAmdocs LtdSHS2,586$205.0K<0.1%+2,586NewHistory
First Tr Exchng Traded FD VI33740U307FT VEST US EQT6,487$205.0K<0.1%−350−5.1%Reduced–
GIBCgi IncCL A2,729$205.0K<0.1%−43−1.6%ReducedHistory
Northern LTS FD Tr IV66538H393INSPIRE TACTICAL8,875$205.0K<0.1%−150−1.7%Reduced–
NEMNEWMONT CorpStock4,894$206.0K<0.1%−6,832−58.3%ReducedHistory
Global X FDS37954Y848GLOBAL X SILVER8,572$207.0K<0.1%+5+0.1%Added–
ARCBArcbest CorpCOM2,853$208.0K<0.1%+2,853NewHistory
IVZInvesco Ltd.Stock15,241$209.0K<0.1%−143−0.9%ReducedHistory
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,212$209.0K<0.1%00.0%Unchanged–
VanEck ETF Trust92189H805RARE EARTH AND S2,508$209.0K<0.1%+71+2.9%Added–
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW5,143$209.0K<0.1%−23−0.4%Reduced–
ProShares Tr74348A541HGH YLD INT RATE3,617$209.0K<0.1%−136−3.6%Reduced–
Innovator U.S. Equity Buffer ETF - October45782C771ETF7,021$210.0K<0.1%+7,021New–
BNSBank of Nova ScotiaCOM4,416$210.0K<0.1%+312+7.6%AddedHistory
HIIHuntington Ingalls Industries, Inc.COM948$210.0K<0.1%+5+0.5%AddedHistory
Fidelity Covington Trust316092709MSCI INDL INDX4,806$210.0K<0.1%−33,091−87.3%Reduced–
Amplify Blockchain Technology ETF032108607ETF11,400$211.0K<0.1%−926−7.5%Reduced–
DSLDoubleLine Income Solutions FundCOM19,551$211.0K<0.1%−462−2.3%ReducedHistory
Kraneshares Trust500767652MOUNT LUCAS ETF5,537$212.0K<0.1%+5,537New–
ASOAcademy Sports & Outdoors, Inc.COM5,038$213.0K<0.1%+5,038NewHistory
PFGPrincipal Financial Group IncCOM2,982$215.0K<0.1%+2,982NewHistory
JDJD.com, Inc.SPON ADS CL A4,282$215.0K<0.1%−5−0.1%ReducedHistory
Lattice Strategies Tr518416409HARTFORD US EQTY6,104$216.0K<0.1%+6,104New–
BGBunge Global SACOM2,620$216.0K<0.1%+110+4.4%AddedHistory
iShares Select U.S. REIT ETF464287564ETF4,051$217.0K<0.1%+26+0.6%Added–
EMNEastman Chemical CoStock3,048$217.0K<0.1%−6,578−68.3%ReducedHistory
ALLEAllegion plcORD SHS2,418$217.0K<0.1%00.0%UnchangedHistory
SNOWSnowflake Inc.Stock1,281$218.0K<0.1%−865−40.3%ReducedHistory
Innovator ETFs Trust45782C680US EQTY PWR BF8,066$218.0K<0.1%+8,066New–
BJBJ's Wholesale Club Holdings, Inc.COM2,998$218.0K<0.1%+2,998NewHistory
IRIngersoll Rand Inc.COM5,037$218.0K<0.1%00.0%UnchangedHistory
MDNAFMedicenna Therapeutics Corp.COM263,050$218.0K<0.1%+11,000+4.4%AddedHistory
TAPMolson Coors Beverage CoCL B4,578$220.0K<0.1%+66+1.5%AddedHistory
CRKComstock Resources IncCOM12,800$221.0K<0.1%+12,800NewHistory
DOVDOVER CorpCOM1,895$221.0K<0.1%+90+5.0%AddedHistory
ETF Ser Solutions26922A446OPUS SML CP VL7,817$222.0K<0.1%−4,270−35.3%Reduced–
USOUnited States Oil Fund, LPUNITS3,394$222.0K<0.1%+24+0.7%AddedHistory
iShares Tr46436E569ESG SELECT SCRE8,272$222.0K<0.1%00.0%Unchanged–
NBBNuveen Taxable Municipal Income FundCOM14,300$224.0K<0.1%+2,000+16.3%AddedHistory
DBLDoubleLine Opportunistic Credit FundCOM15,537$225.0K<0.1%−910−5.5%ReducedHistory
GSGiShares S&P GSCI Commodity-Indexed TrustUNIT BEN INT10,911$225.0K<0.1%−131,039−92.3%ReducedHistory
TSITCW Strategic Income Fund IncCOM47,758$225.0K<0.1%00.0%UnchangedHistory
RIVNRivian Automotive, Inc.Stock6,877$226.0K<0.1%−4,606−40.1%ReducedHistory
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM27,291$226.0K<0.1%+386+1.4%AddedHistory
JPMorgan Chase & Co46625H365ALERIAN ML ETN11,283$226.0K<0.1%00.0%Unchanged–
CCChemours CoStock9,217$227.0K<0.1%−8,030−46.6%ReducedHistory
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD7,540$227.0K<0.1%−229,845−96.8%ReducedHistory
PDPagerDuty, Inc.COM9,852$227.0K<0.1%−5,380−35.3%ReducedHistory
VTRSViatris IncStock26,713$228.0K<0.1%+176+0.7%AddedHistory
Dimensional U.S. Core Equity 2 ETF25434V708ETF10,231$228.0K<0.1%+1,336+15.0%Added–
MPMP Materials Corp.COM CL A8,337$228.0K<0.1%+464+5.9%AddedHistory
iShares Tr464287770U.S. FIN SVC ETF1,612$228.0K<0.1%−433−21.2%Reduced–
CUZCousins Properties IncCOM NEW9,811$229.0K<0.1%00.0%UnchangedHistory
XYLXylem Inc.COM2,630$230.0K<0.1%+2,630NewHistory
PIMCO ETF Tr72201R817INV GRD CRP BD2,518$230.0K<0.1%−97−3.7%Reduced–

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%–