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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
JMIAJumia Technologies AGSPONSORED ADS39,564$230.0K<0.1%−2,282−5.5%ReducedHistory
ALGNAlign Technology IncCOM1,113$231.0K<0.1%−58−5.0%ReducedHistory
First Tr Exchng Traded FD VI33740F680FT VEST US EQT7,889$232.0K<0.1%−229−2.8%Reduced–
First Tr Exchange Traded FD33738R878DORSEY WRIGHT6,946$232.0K<0.1%−4,645−40.1%Reduced–
iShares Tr464289883CORE 30 70 ETF7,125$232.0K<0.1%−10,241−59.0%Reduced–
ABAlliancebernstein Holding L.P.UNIT LTD PARTN6,617$232.0K<0.1%+6,617NewHistory
TRTNTriton International LtdCL A4,255$233.0K<0.1%+4,255NewHistory
EIXEdison InternationalStock4,150$235.0K<0.1%+6+0.1%AddedHistory
ZMZoom Communications, Inc.Stock3,188$235.0K<0.1%−1,150−26.5%ReducedHistory
JHGJanus Henderson Group Ltd.ORD SHS11,592$235.0K<0.1%−697−5.7%ReducedHistory
SPDR Series Trust78468R721STATE STREET SPD5,362$236.0K<0.1%+107+2.0%Added–
Innovator ETFs Trust45783Y756LADDERED ALC BFR10,900$236.0K<0.1%00.0%Unchanged–
RETAReata Pharmaceuticals IncCL A9,387$236.0K<0.1%−928−9.0%ReducedHistory
Fidelity Covington Trust316092386STOCK FOR INFL8,420$237.0K<0.1%+283+3.5%Added–
KDPKeurig Dr Pepper Inc.COM6,645$238.0K<0.1%+30.0%AddedHistory
NGGNational Grid PLCSPONSORED ADR NE4,613$238.0K<0.1%−634−12.1%ReducedHistory
TPVGTriplePoint Venture Growth BDC Corp.COM21,910$238.0K<0.1%+9,243+73.0%AddedHistory
MTBM&T Bank CorpCOM1,349$238.0K<0.1%−121−8.2%ReducedHistory
Flexshares Tr33939L100MORNSTAR USMKT1,731$239.0K<0.1%−32−1.8%Reduced–
Vanguard World FD921910709EXTENDED DUR2,769$240.0K<0.1%+2,769New–
SPDR Index Shs FDS78463X756ST MARKE CAP ETF5,278$241.0K<0.1%−506−8.7%Reduced–
TDOCTeladoc Health, Inc.COM9,522$241.0K<0.1%−219−2.2%ReducedHistory
Cambria ETF Tr132061300CAMBRIA FGN SHR11,845$242.0K<0.1%−1,774−13.0%Reduced–
MFCManulife Financial CorpCOM15,428$242.0K<0.1%−430−2.7%ReducedHistory
IDCCInterDigital, Inc.COM6,015$243.0K<0.1%−340−5.4%ReducedHistory
TXTernium S.A.SPONSORED ADS8,900$244.0K<0.1%−415−4.5%ReducedHistory
KEYKeycorpCOM15,246$244.0K<0.1%+2,167+16.6%AddedHistory
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM22,434$244.0K<0.1%−1,330−5.6%ReducedHistory
CPRTCopart IncCOM2,293$244.0K<0.1%−9−0.4%ReducedHistory
AALAmerican Airlines Group Inc.Stock20,357$245.0K<0.1%+305+1.5%AddedHistory
SAMBoston Beer Co IncCL A756$245.0K<0.1%+66+9.6%AddedHistory
BXMTBlackstone Mortgage Trust, Inc.COM CL A10,485$245.0K<0.1%−8,716−45.4%ReducedHistory
iShares Tr464287192US TRSPRTION1,252$246.0K<0.1%−300−19.3%Reduced–
iShares Tr46435U853BROAD USD HIGH7,329$246.0K<0.1%−249−3.3%Reduced–
Invesco Exchange Traded FD T46137V886DWA STAPLES3,290$246.0K<0.1%00.0%Unchanged–
PFCPremier Financial CorpCOM9,590$246.0K<0.1%+8+0.1%AddedHistory
CWHCamping World Holdings, Inc.CL A9,761$247.0K<0.1%+9,761NewHistory
LITSLite Strategy, Inc.COM NEW641,050$248.0K<0.1%+8,850+1.4%AddedHistory
BIDUBaidu, Inc.ADR2,122$249.0K<0.1%−1,208−36.3%ReducedHistory
LTCLTC Properties IncREIT6,656$249.0K<0.1%+293+4.6%AddedHistory
BUDAnheuser-Busch InBev SA/NVADR5,540$250.0K<0.1%−1,124−16.9%ReducedHistory
Innovator ETFs Trust45782C755US EQTY BUFR JUN8,674$250.0K<0.1%+250+3.0%Added–
JAKKJakks Pacific IncCOM NEW12,948$250.0K<0.1%+12,948NewHistory
First Tr Exchng Traded FD VI33740F847FT VEST US EQT7,605$251.0K<0.1%−775−9.2%Reduced–
DNUTKrispy Kreme, Inc.COM21,767$251.0K<0.1%−341−1.5%ReducedHistory
MIDDMIDDLEBY CorpCOM1,969$252.0K<0.1%−10−0.5%ReducedHistory
WBSWebster Financial CorpCOM5,579$252.0K<0.1%00.0%UnchangedHistory
SKTTanger Inc.COM18,454$252.0K<0.1%−2,718−12.8%ReducedHistory
FSRFisker Inc.CL A COM STK33,424$252.0K<0.1%−1,053−3.1%ReducedHistory
iShares U.S. Regional Banks ETF464288778ETF5,328$254.0K<0.1%+370+7.5%Added–
OLNOLIN CorpStock5,915$254.0K<0.1%+705+13.5%AddedHistory
BFHBread Financial Holdings, Inc.COM8,065$254.0K<0.1%−239−2.9%ReducedHistory
SPDR Series Trust78468R556SP O&G EXPL PRO2,043$255.0K<0.1%−868−29.8%Reduced–
CRSPCRISPR Therapeutics AGNAMEN AKT3,918$256.0K<0.1%−849−17.8%ReducedHistory
ESTEEarthstone Energy IncCL A20,763$256.0K<0.1%+612+3.0%AddedHistory
Invesco S&P 500 Quality ETF46137V241ETF6,501$258.0K<0.1%−28,968−81.7%Reduced–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT78,316$258.0K<0.1%−2,726−3.4%ReducedHistory
GXOGXO Logistics, Inc.Stock7,379$259.0K<0.1%+427+6.1%AddedHistory
Ssga Active Tr78470P408STATE STREET US7,204$259.0K<0.1%−7,519−51.1%Reduced–
EVGEaton Vance Short Duration Diversified Income FundCOM26,408$259.0K<0.1%+3,842+17.0%AddedHistory
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT6,014$261.0K<0.1%−3,065−33.8%Reduced–
Fidelity Covington Trust316092790QLTY FCTOR ETF6,282$261.0K<0.1%+158+2.6%Added–
BENFranklin Templeton IncCOM12,188$262.0K<0.1%+2,605+27.2%AddedHistory
HLHecla Mining CoCOM66,764$263.0K<0.1%+48,333+262.2%AddedHistory
JFRNuveen Floating Rate Income FundCOM32,397$263.0K<0.1%−797−2.4%ReducedHistory
RIOTRiot Platforms, Inc.COM37,684$264.0K<0.1%+22,878+154.5%AddedHistory
SYNASYNAPTICS IncStock2,679$265.0K<0.1%+100+3.9%AddedHistory
Innovator ETFs Trust45782C409US EQTY BUFR JAN8,540$265.0K<0.1%00.0%Unchanged–
OCOwens CorningStock3,388$266.0K<0.1%+20+0.6%AddedHistory
JEFJefferies Financial Group Inc.COM9,059$267.0K<0.1%−732−7.5%ReducedHistory
DINOHF Sinclair CorpCOM4,950$267.0K<0.1%+4,950NewHistory
NVONovo Nordisk A SADR2,688$268.0K<0.1%−188−6.5%ReducedHistory
Nushares ETF Tr67092P607NUVEEN ESG SMLCP8,344$268.0K<0.1%+40+0.5%Added–
CXTCrane NXT, Co.COM3,091$271.0K<0.1%−5−0.2%ReducedHistory
KLACKLA CorpCOM NEW899$272.0K<0.1%+2+0.2%AddedHistory
iShares Core MSCI Europe ETF46434V738ETF6,938$274.0K<0.1%−2,797−28.7%Reduced–
iShares Tr464288638ISHS 5-10YR INVT5,671$274.0K<0.1%−642−10.2%Reduced–
Global X FDS37950E291GLOBX SUPDV US15,547$274.0K<0.1%+15,547New–
RGRSturm Ruger & Co IncStock5,449$277.0K<0.1%+540+11.0%AddedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS29,555$277.0K<0.1%−8,712−22.8%Reduced–
iShares Tr464288505MRGSTR SM CP ETF6,477$277.0K<0.1%−21−0.3%Reduced–
First Tr Exchange Traded FD33741L108DORSY WR MOMNT11,616$278.0K<0.1%−695−5.6%Reduced–
AEMAgnico Eagle Mines LtdStock6,647$281.0K<0.1%−114−1.7%ReducedHistory
Innovator ETFs Trust45782C540US EQTY PWR BUF9,860$281.0K<0.1%+330+3.5%Added–
Flexshares Tr33939L506IBOXX 3R TARGT12,031$281.0K<0.1%−95−0.8%Reduced–
WisdomTree Tr97717Y683ENHNCD CMMDTY ST13,239$282.0K<0.1%−767−5.5%Reduced–
iShares Tr464287127MORNINGSTR US EQ5,713$282.0K<0.1%+4+0.1%Added–
DYDycom Industries IncCOM2,960$283.0K<0.1%+500+20.3%AddedHistory
CORCencora, Inc.Stock2,095$284.0K<0.1%+11+0.5%AddedHistory
ALLYAlly Financial Inc.Stock10,217$284.0K<0.1%−334−3.2%ReducedHistory
iShares Tr464288752US HOME CONS ETF5,470$285.0K<0.1%−441−7.5%Reduced–
ProShares Tr74347B680S&P MDCP 400 DIV4,427$285.0K<0.1%+4,427New–
BLEBlackRock Municipal Income Trust IICOM28,711$287.0K<0.1%−706−2.4%ReducedHistory
Invesco Exchange Traded FD T46137V746LARG CAP GRO ETF5,051$288.0K<0.1%+58+1.2%Added–
SPLKSplunk IncCOM3,824$288.0K<0.1%−54−1.4%ReducedHistory
NXHNeighborhood Intelligence, Inc.COM11,851$289.0K<0.1%−1,171−9.0%ReducedHistory
Invesco Exchange Traded FD T46137V266S&P500 PUR GWT2,010$291.0K<0.1%+38+1.9%Added–
SPHSuburban Propane Partners LPUNIT LTD PARTN19,345$291.0K<0.1%−106−0.5%ReducedHistory
Invesco Exchange Traded FD T46137V837DORS WRI MOM ETF4,333$293.0K<0.1%−200−4.4%Reduced–
ICLRIcon PLCCOM1,601$294.0K<0.1%−58−3.5%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%–