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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q4 2022

Holdings as of Dec 31, 2022, filed Jan 24, 2023. Long positions only; changes compare share counts with Q3 2022.

Institution overview
Positions
1,258
+7 vs. Q3 2022
Portfolio value
$2.80B
+$182.8M (+7.0%) vs. Q3 2022
Filed
Jan 24, 2023
SEC
Holdings of Sigma Planning Corp in Q4 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
iShares Core S&P 500 ETF464287200ETF334,480$128.5M4.6%−5,634−1.7%Reduced–
AAPLApple Inc.Stock911,539$118.4M4.2%−32,062−3.4%ReducedHistory
iShares Core Dividend Growth ETF46434V621ETF978,067$48.9M1.7%−59,498−5.7%Reduced–
MSFTMicrosoft CorpStock184,734$44.3M1.6%−3,685−2.0%ReducedHistory
Invesco QQQ Trust Series I46090E103ETF156,502$41.7M1.5%+5,087+3.4%Added–
AMZNAmazon Com IncStock399,821$33.6M1.2%−9,359−2.3%ReducedHistory
SPYSPDR S&P 500 ETF TrustETF81,377$31.1M1.1%−6,494−7.4%ReducedHistory
Schwab US Dividend Equity ETF808524797ETF396,742$30.0M1.1%+20,833+5.5%Added–
iShares Core S&P Small Cap ETF464287804ETF272,616$25.8M0.9%+11,758+4.5%Added–
iShares Core U.S. Aggregate Bond ETF464287226ETF254,124$24.6M0.9%−17,149−6.3%Reduced–
iShares Core S&P Mid-Cap ETF464287507ETF101,873$24.6M0.9%+1,296+1.3%Added–
Pacer US Cash Cows 100 ETF69374H881ETF510,582$23.6M0.8%+54,750+12.0%Added–
Vanguard S&P 500 ETF922908363ETF66,307$23.3M0.8%+2,161+3.4%Added–
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF220,410$23.2M0.8%−12,101−5.2%Reduced–
First Trust Rising Dividend Achievers ETF33738R506ETF511,418$22.5M0.8%−72,251−12.4%Reduced–
iShares MSCI USA Min Vol Factor ETF46429B697ETF293,869$21.2M0.8%+3,103+1.1%Added–
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM381,861$20.8M0.7%+234,555+159.2%Added–
iShares S&P 500 Growth ETF464287309ETF332,370$19.4M0.7%−2,787−0.8%Reduced–
JPMorgan Ultra-Short Income ETF46641Q837ETF368,864$18.5M0.7%+259,833+238.3%Added–
JNJJohnson & JohnsonStock103,616$18.3M0.7%−3,160−3.0%ReducedHistory
iShares Tr4642874571 3 YR TREAS BD213,825$17.4M0.6%−5,641−2.6%Reduced–
State Street Energy Select Sector SPDR ETF81369Y506ETF197,428$17.3M0.6%+27,802+16.4%Added–
ABBVAbbVie Inc.Stock106,318$17.2M0.6%−171−0.2%ReducedHistory
iShares S&P 500 Value ETF464287408ETF116,668$16.9M0.6%+9,145+8.5%Added–
First Tr Exchange-Traded FD336917109SHS436,674$16.0M0.6%+304,256+229.8%Added–
GOOGAlphabet Inc.Stock176,727$15.7M0.6%−4,305−2.4%ReducedHistory
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF204,400$15.3M0.5%−1,279−0.6%Reduced–
iShares Tr464287150CORE S&P TTL STK175,947$14.9M0.5%−2,541−1.4%Reduced–
UNHUnitedHealth Group IncStock28,056$14.9M0.5%−2,128−7.1%ReducedHistory
GLDSPDR Gold TrustETF86,263$14.6M0.5%−2,130−2.4%ReducedHistory
iShares Tr46429B655FLTG RATE NT ETF288,500$14.5M0.5%+1,733+0.6%Added–
First Tr Exchange-Traded FD33734H106SHS358,836$14.3M0.5%−237,446−39.8%Reduced–
BRK.BBerkshire Hathaway IncStock46,107$14.2M0.5%+832+1.8%AddedHistory
First Tr Exchange-Traded FD33739Q408FIRST TR ENH NEW237,692$14.1M0.5%+42,598+21.8%Added–
iShares Tips Bond ETF464287176ETF131,855$14.0M0.5%−8,496−6.1%Reduced–
HDHome Depot, Inc.Stock43,430$13.7M0.5%+672+1.6%AddedHistory
XOMExxonMobil Holdings CorpCOM123,661$13.6M0.5%+6,728+5.8%AddedHistory
iShares Tr464288414NATIONAL MUN ETF125,881$13.3M0.5%−5,367−4.1%Reduced–
NVDANVIDIA CorpStock89,332$13.1M0.5%−7,735−8.0%ReducedHistory
Pacer Trendpilot US Large Cap ETF69374H105ETF344,382$12.9M0.5%+6,985+2.1%Added–
NEENextera Energy IncStock154,401$12.9M0.5%−945−0.6%ReducedHistory
PGProcter & Gamble CoStock84,282$12.8M0.5%+1,179+1.4%AddedHistory
JPMJPMorgan Chase & CoStock93,207$12.5M0.4%−6,498−6.5%ReducedHistory
GOOGLAlphabet Inc.Stock138,010$12.2M0.4%−12,047−8.0%ReducedHistory
PFEPfizer IncStock219,391$11.2M0.4%−2,134−1.0%ReducedHistory
VZVerizon Communications IncStock273,572$10.8M0.4%+7,000+2.6%AddedHistory
Fidelity MSCI Health Care Index ETF316092600ETF168,417$10.8M0.4%+4,107+2.5%Added–
Vanguard Morningstar Mid-Cap ETF922908629ETF52,191$10.6M0.4%+2,120+4.2%Added–
Schwab U.S. Large-Cap Growth ETF808524300ETF187,757$10.4M0.4%+11,496+6.5%Added–
VVisa Inc.Stock49,829$10.4M0.4%−5,177−9.4%ReducedHistory
State Street Health Care Select Sector SPDR ETF81369Y209ETF75,416$10.2M0.4%+14,209+23.2%Added–
CVXChevron CorpStock56,724$10.2M0.4%−3,435−5.7%ReducedHistory
iShares Tr46432F859CORE 1 5 YR USD214,403$9.96M0.4%−19,492−8.3%Reduced–
State Street Financial Select Sector SPDR ETF81369Y605ETF286,812$9.81M0.4%−36,270−11.2%Reduced–
iShares Core MSCI Emerging Markets ETF46434G103ETF205,851$9.61M0.3%+13,423+7.0%Added–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT201,789$9.57M0.3%+7,886+4.1%Added–
iShares MSCI USA Momentum Factor ETF46432F396ETF64,563$9.42M0.3%−4,309−6.3%Reduced–
iShares Core S&P US Value ETF464287663ETF131,698$9.30M0.3%+9,018+7.4%Added–
First Tr Exchng Traded FD VI33740F888SMIT UNCO BD ETF382,720$9.23M0.3%−27,157−6.6%Reduced–
Vanguard Morningstar Value ETF922908744ETF65,284$9.16M0.3%−5,812−8.2%Reduced–
MRKMerck & Co., Inc.Stock82,048$9.10M0.3%−8,835−9.7%ReducedHistory
BABoeing CoStock46,649$8.89M0.3%−12,693−21.4%ReducedHistory
COSTCostco Wholesale CorpStock19,406$8.86M0.3%−130−0.7%ReducedHistory
iShares Core MSCI Eafe ETF46432F842ETF141,352$8.71M0.3%−9,888−6.5%Reduced–
American Centy ETF Tr025072877US SML CP VALU116,827$8.70M0.3%+44,449+61.4%Added–
PEPPepsiCo IncStock47,892$8.65M0.3%−664−1.4%ReducedHistory
WMWaste Management IncStock54,444$8.54M0.3%+2,435+4.7%AddedHistory
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD111,651$8.40M0.3%+15,618+16.3%Added–
Vanguard Morningstar Small-Cap ETF922908751ETF44,923$8.25M0.3%−1,095−2.4%Reduced–
iShares U.S. Medical Devices ETF464288810ETF153,178$8.05M0.3%−15,743−9.3%Reduced–
Vanguard Morningstar Total Stock Market ETF922908769ETF41,982$8.03M0.3%+53+0.1%Added–
First Tr Exchange-Traded Alp33735J101COM SHS120,470$7.93M0.3%+2,556+2.2%Added–
WMTWalmart Inc.Stock55,640$7.89M0.3%−367−0.7%ReducedHistory
KOCoca Cola CoStock123,731$7.87M0.3%+8,311+7.2%AddedHistory
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT55,437$7.83M0.3%+1,299+2.4%Added–
DISWalt Disney CoStock88,967$7.73M0.3%−7,861−8.1%ReducedHistory
VanEck Morningstar Wide Moat ETF92189F643ETF118,624$7.70M0.3%−1,580−1.3%Reduced–
Vanguard High Dividend Yield Index ETF921946406ETF70,105$7.59M0.3%−6,459−8.4%Reduced–
State Street Technology Select Sector SPDR ETF81369Y803ETF60,278$7.50M0.3%−6,767−10.1%Reduced–
UPSUnited Parcel Service IncStock43,047$7.48M0.3%+12,184+39.5%AddedHistory
MCDMcDonalds CorpStock28,132$7.41M0.3%+495+1.8%AddedHistory
iShares S&P Small-Cap 600 Value ETF464287879ETF80,157$7.32M0.3%−2,646−3.2%Reduced–
TSLATesla, Inc.Stock59,292$7.30M0.3%−2,151−3.5%ReducedHistory
BACBank of America CorpStock220,452$7.30M0.3%+10,655+5.1%AddedHistory
iShares MSCI Eafe ETF464287465ETF111,217$7.30M0.3%+1,734+1.6%Added–
LLYEli Lilly & CoStock19,740$7.22M0.3%+1,086+5.8%AddedHistory
FFord Motor CoStock614,969$7.15M0.3%+17,962+3.0%AddedHistory
iShares Select Dividend ETF464287168ETF59,197$7.14M0.3%+11,500+24.1%Added–
iShares Tr46429B7470-5 YR TIPS ETF73,392$7.12M0.3%−7,513−9.3%Reduced–
Vanguard Dividend Appreciation ETF921908844ETF46,017$6.99M0.2%+2,231+5.1%Added–
LMTLockheed Martin CorpStock14,270$6.94M0.2%+59+0.4%AddedHistory
MOAltria Group, Inc.Stock151,012$6.90M0.2%+967+0.6%AddedHistory
NOCNorthrop Grumman CorpStock12,578$6.86M0.2%+10,220+433.4%AddedHistory
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF90,861$6.77M0.2%+2,061+2.3%Added–
DTEDte Energy CoCOM56,721$6.67M0.2%+3,505+6.6%AddedHistory
TAT&T Inc.Stock355,043$6.54M0.2%+696+0.2%AddedHistory
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF102,078$6.49M0.2%+2,370+2.4%Added–
Vanguard Ftse Developed Markets ETF921943858ETF154,033$6.46M0.2%+14,020+10.0%Added–
ProShares Tr74348A467S&P 500 DV ARIST70,587$6.35M0.2%+16,781+31.2%Added–
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD142,850$6.27M0.2%−24,178−14.5%Reduced–

Options (3)

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 Q4 2022
SecurityClassPutsCalls
ProShares Tr74347X831ULTRAPRO QQQ–$476
VTNRVertex Energy Inc.COM–$71
FCELFuelcell Energy IncCOM–$35

Sold out since Q3 2022 (97)

Positions held at the end of Q3 2022 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q3 2022
SecurityClassShares in Q3 2022Value in Q3 2022% of portfolio in Q3 2022History
Invesco Exch TRD SLF Idx FD46138J882BULSHS 2022 CB386,373$8.18M0.3%–
Victory Portfolios II92647N782VCSHS US 500 ENH52,859$3.39M0.1%–
Invesco Bulletshares 2022 HY Bd (BSJM)46138J874BULSHS 2022 HY114,256$2.51M0.1%–
First Tr Exchng Traded FD VI33740F789MLT MNGD LRG GRW126,347$2.06M0.1%–
First Tr Exchange-Traded Alp33737M409SML CAP VAL ALPH46,741$1.89M0.1%–
First Tr Exchange-Traded FD33734X184UTILITIES ALPH43,834$1.34M0.1%–
Kraneshares Tr500767736QUADRTC INT RT55,887$1.24M<0.1%–
First Tr Exchange Traded FD33738R662INTL DEV STRNGTH43,272$1.12M<0.1%–
iShares Tr46434VBA7IBONDS DEC22 ETF36,068$903.0K<0.1%–
DBAInvesco DB Agriculture FundAGRICULTURE FD42,066$842.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J676BULLSHS 22 USD33,560$802.0K<0.1%–
CELHCelsius Holdings, Inc.COM NEW8,710$790.0K<0.1%History
AXONAxon Enterprise, Inc.COM6,619$766.0K<0.1%History
Timothy Plan887432284US LARGE MID CP31,058$724.0K<0.1%–
iShares Tr46436E809IBONDS 22 TRM TS25,281$642.0K<0.1%–
HBIHanesbrands Inc.COM86,569$603.0K<0.1%History
Kraneshares Tr500767587QUADRATIC DEFLA27,687$601.0K<0.1%–
GLNGGolar LNG LtdSHS21,279$530.0K<0.1%History
Innovator ETFs Tr45782C862LOUP FRONTIER16,326$438.0K<0.1%–
BHVNBiohaven Ltd.COM2,781$420.0K<0.1%History
First Tr Exchange-Traded FD336920103US EQTY OPPT ETF5,115$415.0K<0.1%–
SICPSilvergate Capital CorpCL A5,498$414.0K<0.1%History
Invesco Exch TRD SLF Idx FD46138J775BLOO PRI PWR ETF6,772$408.0K<0.1%–
NWLNewell Brands Inc.Stock29,030$403.0K<0.1%History
CECelanese CorpStock4,451$402.0K<0.1%History
TREXTrex Co IncCOM8,755$385.0K<0.1%History
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF7,752$376.0K<0.1%–
COINCoinbase Global, Inc.COM CL A5,711$368.0K<0.1%History
FNVFranco Nevada CorpStock3,032$362.0K<0.1%History
LACLithium Americas Corp.COM NEW13,523$355.0K<0.1%History
Innovator ETFs Tr45782C763IBD BREAKOUT12,594$353.0K<0.1%–
FBCFlagstar Bancorp IncCOM PAR .00110,260$343.0K<0.1%History
First Tr Exchange-Traded FD33734X101CONSUMR DISCRE7,731$333.0K<0.1%–
CCJCameco CorpStock12,471$331.0K<0.1%History
Franklin Templeton ETF Tr35473P595SENIOR LOAN ETF14,251$328.0K<0.1%–
Northern LTS FD Tr IV66538H591MAIN SECTR ROTN9,084$323.0K<0.1%–
TWTRTwitter, Inc.COM7,172$314.0K<0.1%History
ICLRIcon PLCCOM1,601$294.0K<0.1%History
Invesco Exchange Traded FD T46137V837DORS WRI MOM ETF4,333$293.0K<0.1%–
ALLYAlly Financial Inc.Stock10,217$284.0K<0.1%History
WisdomTree Tr97717Y683ENHNCD CMMDTY ST13,239$282.0K<0.1%–
iShares Tr464287127MORNINGSTR US EQ5,713$282.0K<0.1%–
AEMAgnico Eagle Mines LtdStock6,647$281.0K<0.1%History
Nushares ETF Tr67092P607NUVEEN ESG SMLCP8,344$268.0K<0.1%–
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT6,014$261.0K<0.1%–
Ssga Active Tr78470P408STATE STREET US7,204$259.0K<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT3,918$256.0K<0.1%History
SPDR Series Trust78468R556SP O&G EXPL PRO2,043$255.0K<0.1%–
DNUTKrispy Kreme, Inc.COM21,767$251.0K<0.1%History
BIDUBaidu, Inc.ADR2,122$249.0K<0.1%History
LITSLite Strategy, Inc.COM NEW641,050$248.0K<0.1%History
SAMBoston Beer Co IncCL A756$245.0K<0.1%History
MFCManulife Financial CorpCOM15,428$242.0K<0.1%History
Vanguard World FD921910709EXTENDED DUR2,769$240.0K<0.1%–
MTBM&T Bank CorpCOM1,349$238.0K<0.1%History
SPDR Series Trust78468R721STATE STREET SPD5,362$236.0K<0.1%–
ZMZoom Communications, Inc.Stock3,188$235.0K<0.1%History
iShares Tr464289883CORE 30 70 ETF7,125$232.0K<0.1%–
ALGNAlign Technology IncCOM1,113$231.0K<0.1%History
CUZCousins Properties IncCOM NEW9,811$229.0K<0.1%History
MPMP Materials Corp.COM CL A8,337$228.0K<0.1%History
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD7,540$227.0K<0.1%History
RIVNRivian Automotive, Inc.Stock6,877$226.0K<0.1%History
SNOWSnowflake Inc.Stock1,281$218.0K<0.1%History
BJBJ's Wholesale Club Holdings, Inc.COM2,998$218.0K<0.1%History
iShares Select U.S. REIT ETF464287564ETF4,051$217.0K<0.1%–
BNSBank of Nova ScotiaCOM4,416$210.0K<0.1%History
VanEck ETF Trust92189H805RARE EARTH AND S2,508$209.0K<0.1%–
ProShares Tr74348A541HGH YLD INT RATE3,617$209.0K<0.1%–
ARCBArcbest CorpCOM2,853$208.0K<0.1%History
Northern LTS FD Tr IV66538H393INSPIRE TACTICAL8,875$205.0K<0.1%–
CNXCConcentrix CorpStock1,809$202.0K<0.1%History
PEverpure, Inc.CL A7,398$202.0K<0.1%History
Health Assurn Acquisition Co42226W208UNIT 99/99/999919,220$192.0K<0.1%–
DJTWWTrump Media & Technology Group Corp.*W EXP 03/25/20249,705$179.0K<0.1%History
BBNBlackRock Taxable Municipal Bond TrustSHS10,523$173.0K<0.1%History
BBWBuild-A-Bear Workshop IncCOM11,773$157.0K<0.1%History
KIOKKR Income Opportunities FundCOM11,229$128.0K<0.1%History
WOOFPetco Health & Wellness Company, Inc.CL A COM10,788$120.0K<0.1%History
NZFNuveen Municipal Credit Income FundCOM SH BEN INT10,471$119.0K<0.1%History
Two Harbors Investment Corp.90187B408COM NEW35,053$116.0K<0.1%–
VODVodafone Group Public Ltd CoADR10,159$115.0K<0.1%History
NADNuveen Quality Municipal Income FundCOM10,458$115.0K<0.1%History
JRINuveen Real Asset Income & Growth FundCOM10,282$115.0K<0.1%History
NMZNuveen Municipal High Income Opportunity FundCOM10,933$112.0K<0.1%History
TUPTupperware Brands CorpCOM11,377$75.0K<0.1%History
CLVSClovis Oncology, Inc.COM52,148$62.0K<0.1%History
ANGIAngi Inc.COM CL A NEW16,700$49.0K<0.1%History
TRXTRX GOLD CorpCOM91,505$36.0K<0.1%History
XCURExicure, Inc.COM NEW21,807$34.0K<0.1%History
AGENAgenus IncCOM NEW12,100$25.0K<0.1%History
CORZCore Scientific, Inc.COMMON STOCK18,500$24.0K<0.1%History
SQFTPresidio Property Trust, Inc.COM CL A15,914$20.0K<0.1%History
Bitfarms Ltd Com09173B107Stock10,000$11.0K<0.1%–
WTERAlkaline Water Co IncCOM NEW12,300$4.00K<0.1%History
TLPHTalphera, Inc.COM10,000$2.00K<0.1%History
AMPEAmpio Pharmaceuticals, Inc.COM17,442$1.00K<0.1%History