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Livermore
Livermore
ZHEN

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
Avaya Hldgs Corp05351XAB7NOTE 2.250% 6/120,000$750<0.1%00.0%Unchanged–
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20216,420$903<0.1%−1,032−5.9%ReducedHistory
REEDReed's, Inc.COM29,565$2.06K<0.1%−880−2.9%ReducedHistory
CFORCapForce Inc.COM17,500$2.47K<0.1%00.0%UnchangedHistory
AYTUAytu Biopharma, IncCOM NEW16,996$3.21K<0.1%00.0%UnchangedHistory
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$3.54K<0.1%00.0%UnchangedHistory
LOGCContextLogic Inc.COM CL A10,500$5.12K<0.1%00.0%UnchangedHistory
APPHAppHarvest, Inc.COM12,037$6.83K<0.1%+12,037NewHistory
HCDIHarbor Custom Development, Inc.COM18,503$6.86K<0.1%+2,000+12.1%AddedHistory
HLGNHeliogen, Inc.COMMON STOCK11,433$7.98K<0.1%+11,433NewHistory
WPRTWestport Fuel Systems Inc.COM NEW12,400$9.61K<0.1%−800−6.1%ReducedHistory
CLOVClover Health Investments, Corp.COM CL A10,700$9.95K<0.1%00.0%UnchangedHistory
SDCSmileDirectClub, Inc.CL A COM29,284$10.3K<0.1%00.0%UnchangedHistory
STEXStreamex Corp.COM NEW29,000$12.2K<0.1%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM81,750$13.3K<0.1%00.0%UnchangedHistory
TELLTellurian Inc.COM10,730$18.0K<0.1%−3,600−25.1%ReducedHistory
GTBPGT Biopharma, Inc.COM NEW21,395$18.9K<0.1%00.0%UnchangedHistory
AMRSAmyris, Inc.COM NEW12,437$19.0K<0.1%−150−1.2%ReducedHistory
OPKOpko Health, Inc.COM15,402$19.3K<0.1%00.0%UnchangedHistory
NVTAInvitae CorpCOM10,722$19.9K<0.1%+30+0.3%AddedHistory
ONCTOncternal Therapeutics, Inc.COM20,025$20.0K<0.1%00.0%UnchangedHistory
EVGNEvogene Ltd.SHS45,363$31.8K<0.1%00.0%UnchangedHistory
PLGPlatinum Group Metals LtdCOM18,500$32.2K<0.1%00.0%UnchangedHistory
CGCCanopy Growth CorpCOM14,250$32.9K<0.1%−50−0.3%ReducedHistory
OGIOrganigram Global Inc.COM45,981$36.8K<0.1%−1,500−3.2%ReducedHistory
MNTSMomentus Inc.COM CL A47,775$37.3K<0.1%00.0%UnchangedHistory
Advisorshares Tr00768Y495PURE CANNABIS11,068$39.8K<0.1%−456−4.0%Reduced–
TTITetra Technologies IncCOM12,331$42.7K<0.1%00.0%UnchangedHistory
AQMSAqua Metals, Inc.COM36,000$45.0K<0.1%−5,150−12.5%ReducedHistory
NSLNuveen Senior Income FundCOM10,365$47.6K<0.1%00.0%UnchangedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/051,000$48.6K<0.1%00.0%Unchanged–
BTGB2GOLD CorpCOM14,480$51.7K<0.1%+215+1.5%AddedHistory
IBRXImmunityBio, Inc.COM11,050$56.0K<0.1%+300+2.8%AddedHistory
TLRYTilray Brands, Inc.COM CL 221,010$56.5K<0.1%+2,119+11.2%AddedHistory
IAFAbrdn Australia Equity Fund, Inc.COM12,885$56.6K<0.1%00.0%UnchangedHistory
MBRXMoleculin Biotech, Inc.COM57,500$61.0K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM19,620$61.2K<0.1%+585+3.1%AddedHistory
Portage Biotech IncG7185A128COM11,858$62.7K<0.1%+170+1.5%Added–
BRSPBrightSpire Capital, Inc.COM CL A10,702$66.7K<0.1%+10,702NewHistory
IAGIamgold CorpCOM26,853$69.3K<0.1%+26,853NewHistory
Harbor Custom Development IN41150T2078% CONV PFD SR A10,800$69.7K<0.1%+500+4.9%Added–
RWTRedwood Trust IncCOM10,564$71.4K<0.1%+38+0.4%AddedHistory
EVGOEVgo Inc.CL A COM16,031$71.7K<0.1%−685−4.1%ReducedHistory
NKLANikola CorpCOM33,209$71.7K<0.1%+8,050+32.0%AddedHistory
CHSChico's Fas, Inc.COM15,000$73.8K<0.1%+3,500+30.4%AddedHistory
IGRCbre Global Real Estate Income FundCOM12,995$74.5K<0.1%+26+0.2%AddedHistory
SERSerina Therapeutics, Inc.COM134,977$74.5K<0.1%+17,777+15.2%AddedHistory
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,373$78.3K<0.1%+73+0.7%AddedHistory
RIGTransocean Ltd.REGISTERED SHS17,409$79.4K<0.1%+120+0.7%AddedHistory
HOODRobinhood Markets, Inc.Stock10,429$84.9K<0.1%+10,429NewHistory
NOKNokia CorpSPONSORED ADR19,086$88.6K<0.1%−331−1.7%ReducedHistory
QSQuantumScape CorpCOM CL A15,741$89.3K<0.1%+821+5.5%AddedHistory
BBDCBarings BDC, Inc.COM10,998$89.6K<0.1%−1,260−10.3%ReducedHistory
MTTRMatterport, Inc.COM CL A32,133$90.0K<0.1%−13,327−29.3%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,239$92.8K<0.1%−1,150−10.1%ReducedHistory
AGFirst Majestic Silver CorpCOM11,360$94.8K<0.1%−37,645−76.8%ReducedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM36,736$96.6K<0.1%−3,424−8.5%ReducedHistory
MUXMcEwen Inc.COM NEW17,030$99.8K<0.1%+17,030NewHistory
HNRGHallador Energy CoStock10,000$99.9K<0.1%00.0%UnchangedHistory
Advisorshares Tr00768Y453PURE US CANN ETF14,382$100.5K<0.1%+789+5.8%Added–
TALTAL Education GroupSPONSORED ADS14,600$102.9K<0.1%+14,600NewHistory
TPICQTpi Composites, IncCOM10,201$103.4K<0.1%00.0%UnchangedHistory
LTRNLantern Pharma Inc.COM17,300$104.5K<0.1%−200−1.1%ReducedHistory
TFFPTFF Pharmaceuticals, Inc.COM100,891$105.9K<0.1%+24,000+31.2%AddedHistory
JPCNuveen Preferred & Income Opportunities FundCOM14,653$106.7K<0.1%+1,052+7.7%AddedHistory
EZPWEzcorp IncCL A NON VTG13,170$107.3K<0.1%−817−5.8%ReducedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT27,650$107.8K<0.1%−1,889−6.4%ReducedHistory
RUMRUM Group Inc.Stock18,166$108.1K<0.1%+2,205+13.8%AddedHistory
FCELFuelcell Energy IncCOM39,350$109.4K<0.1%+1,135+3.0%AddedHistory
CIMChimera Investment CorpCOM NEW20,056$110.3K<0.1%+436+2.2%AddedHistory
SWBISmith & Wesson Brands, Inc.COM12,767$110.8K<0.1%+820+6.9%AddedHistory
PCTPureCycle Technologies, Inc.COM16,642$112.5K<0.1%+3,912+30.7%AddedHistory
EDITEditas Medicine, Inc.COM12,704$112.7K<0.1%−3,911−23.5%ReducedHistory
SOFISoFi Technologies, Inc.Stock24,475$112.8K<0.1%+2,613+12.0%AddedHistory
VVRInvesco Senior Income TrustCOM29,527$113.1K<0.1%+8,624+41.3%AddedHistory
SIRISirius XM Holdings Inc.COM19,702$115.1K<0.1%+57+0.3%AddedHistory
PLTRPalantir Technologies Inc.Stock18,066$116.0K<0.1%+1,255+7.5%AddedHistory
HEQJohn Hancock Diversified Income FundCOM10,217$117.5K<0.1%00.0%UnchangedHistory
XXII22nd Century Group, Inc.COM127,700$117.5K<0.1%+42,100+49.2%AddedHistory
VMOInvesco Municipal Opportunity TrustCOM12,221$121.1K<0.1%+35+0.3%AddedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT15,723$122.6K<0.1%+43+0.3%AddedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS13,483$123.0K<0.1%00.0%UnchangedHistory
ATOMAtomera IncCOM20,675$128.6K<0.1%+575+2.9%AddedHistory
GABGabelli Equity Trust IncCOM24,058$131.8K<0.1%+549+2.3%AddedHistory
JMIAJumia Technologies AGSPONSORED ADS41,891$134.5K<0.1%+2,327+5.9%AddedHistory
NVGNuveen AMT-Free Municipal Credit Income FundCEF11,270$136.8K<0.1%−1,886−14.3%ReducedHistory
EIGREiger BioPharmaceuticals, Inc.COM116,300$137.2K<0.1%+52,350+81.9%AddedHistory
RIOTRiot Platforms, Inc.COM40,602$137.6K<0.1%+2,918+7.7%AddedHistory
MDNAFMedicenna Therapeutics Corp.COM302,550$138.6K<0.1%+39,500+15.0%AddedHistory
EVVEaton Vance Ltd Duration Income FundCOM14,826$139.2K<0.1%−1,373−8.5%ReducedHistory
NMCONuveen Municipal Credit Opportunities FundCOM12,902$141.8K<0.1%+12,902NewHistory
DCGODocGo Inc.COM20,200$142.8K<0.1%+6,000+42.3%AddedHistory
CMLSQCumulus Media IncCOM CL A23,222$144.2K<0.1%+400+1.8%AddedHistory
Fidelity Covington Trust316092337FIDELITY FUND LR11,657$147.7K<0.1%+440+3.9%Added–
GFNew Germany Fund IncCOM19,326$152.5K<0.1%00.0%UnchangedHistory
RQICohen & Steers Quality Income Realty Fund IncCEF13,277$152.7K<0.1%+101+0.8%AddedHistory
SBSWSibanye Stillwater LtdSPONSORED ADR14,422$153.7K<0.1%+14,422NewHistory
Amplify Blockchain Technology ETF032108607ETF10,354$156.6K<0.1%−1,046−9.2%Reduced–
EFREaton Vance Senior Floating-Rate TrustCOM14,522$158.9K<0.1%−1,657−10.2%ReducedHistory
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM10,500$159.5K<0.1%−100−0.9%ReducedHistory

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