Skip to main content

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
HPEHewlett Packard Enterprise CoCOM10,017$159.9K<0.1%+10,017NewHistory
FTITechnipFMC plcCOM13,288$162.0K<0.1%+13,288NewHistory
GAPGap IncCOM14,689$165.7K<0.1%−1,057−6.7%ReducedHistory
HPSJohn Hancock Preferred Income Fund IIICOM11,547$166.6K<0.1%+29+0.3%AddedHistory
SLRCSLR Investment Corp.COM12,007$167.0K<0.1%+442+3.8%AddedHistory
LUMNLumen Technologies, Inc.Stock32,270$168.5K<0.1%−10,552−24.6%ReducedHistory
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM10,500$169.3K<0.1%−38−0.4%ReducedHistory
BLEBlackRock Municipal Income Trust IICOM16,475$170.2K<0.1%−12,236−42.6%ReducedHistory
BGRBlackRock Energy & Resources TrustCOM13,670$171.3K<0.1%+13,670NewHistory
VALEVale S.A.SPONSORED ADS10,135$172.0K<0.1%+10,135NewHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$174.4K<0.1%00.0%Unchanged–
SONOSonos IncCOM10,374$175.3K<0.1%−424−3.9%ReducedHistory
BGSB&G Foods, Inc.COM16,028$178.7K<0.1%−2,376−12.9%ReducedHistory
ABRArbor Realty Trust IncCOM13,618$179.6K<0.1%+1,199+9.7%AddedHistory
NIDNuveen Intermediate Duration Municipal Term FundCOM13,776$180.7K<0.1%+1,776+14.8%AddedHistory
BTZBlackRock Credit Allocation Income TrustCOM18,466$186.5K<0.1%−242−1.3%ReducedHistory
IRTIndependence Realty Trust, Inc.COM11,089$187.0K<0.1%−41−0.4%ReducedHistory
FBRTFranklin BSP Realty Trust, Inc.COMMON STOCK14,506$187.1K<0.1%00.0%UnchangedHistory
ONBOld National BancorpStock10,546$189.6K<0.1%+465+4.6%AddedHistory
VanEck ETF Trust92189F429PREFERRED SECURT11,424$190.9K<0.1%+134+1.2%Added–
DSLDoubleLine Income Solutions FundCOM17,271$191.5K<0.1%−2,280−11.7%ReducedHistory
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM17,375$192.7K<0.1%−8,150−31.9%ReducedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT13,748$193.6K<0.1%+301+2.2%AddedHistory
SCWO374Water Inc.Common Stock67,833$194.0K<0.1%00.0%UnchangedHistory
PLUGPlug Power IncStock15,840$195.9K<0.1%−1,481−8.6%ReducedHistory
OXLCOxford Lane Capital Corp.COM38,719$196.3K<0.1%+10,533+37.4%AddedHistory
Invesco Exchange Traded FD T46137V548INTL DIVI ACHI11,940$199.7K<0.1%+11,940New–
DELLDell Technologies Inc.Stock4,976$200.2K<0.1%+4,976NewHistory
PENNPENN Entertainment, Inc.COM6,755$200.6K<0.1%+6,755NewHistory
EFCEllington Financial Inc.COM16,235$200.8K<0.1%+37+0.2%AddedHistory
TXTernium S.A.SPONSORED ADS6,598$201.7K<0.1%−2,302−25.9%ReducedHistory
SYNASYNAPTICS IncStock2,122$201.9K<0.1%−557−20.8%ReducedHistory
NTGTortoise Midstream Energy Fund, Inc.COM5,862$202.7K<0.1%+5,862NewHistory
FRPTFreshpet, Inc.Stock3,847$203.0K<0.1%+3,847NewHistory
First Tr Exchng Traded FD VI33740F862FT VEST US EQT5,870$203.4K<0.1%−300−4.9%Reduced–
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM27,126$203.4K<0.1%−165−0.6%ReducedHistory
HLNHaleon plcADR25,548$204.4K<0.1%−7,163−21.9%ReducedHistory
UNGUnited States Natural Gas Fund, LPUNIT PAR14,566$205.4K<0.1%−4,008−21.6%ReducedHistory
Vanguard Scottsdale FDS92206C706INTER TERM TREAS3,528$206.4K<0.1%+48+1.4%Added–
SJISouth Jersey Industries IncCOM5,820$206.8K<0.1%+5,820NewHistory
ASOAcademy Sports & Outdoors, Inc.COM3,944$207.3K<0.1%−1,094−21.7%ReducedHistory
Golden Ocean Group LtdG39637205SHS NEW23,886$207.6K<0.1%+486+2.1%Added–
First Tr Exchng Traded FD VI33740F649FT VEST NAS11,460$209.7K<0.1%+11,460New–
Schwab Intermediate-Term US Treasury ETF808524854ETF4,278$210.6K<0.1%+4,278New–
ARK Next Generation Technology ETF00214Q401ETF5,466$210.8K<0.1%−2,689−33.0%Reduced–
FSRFisker Inc.CL A COM STK29,155$212.0K<0.1%−4,269−12.8%ReducedHistory
CMCCommercial Metals CoStock4,422$213.6K<0.1%+4,422NewHistory
IRIngersoll Rand Inc.COM4,089$213.7K<0.1%−948−18.8%ReducedHistory
FHNFirst Horizon CorpCOM8,722$213.7K<0.1%+8,722NewHistory
BXMTBlackstone Mortgage Trust, Inc.COM CL A10,122$214.3K<0.1%−363−3.5%ReducedHistory
Franklin Templeton ETF Tr35473P462BRANDYWINEGLOBAL18,727$214.4K<0.1%+18,727New–
First Tr Exchng Traded FD VI33740U307FT VEST US EQT6,407$214.4K<0.1%−80−1.2%Reduced–
TSITCW Strategic Income Fund IncCOM46,658$215.6K<0.1%−1,100−2.3%ReducedHistory
SHLSShoals Technologies Group, Inc.CL A8,802$217.1K<0.1%+8,802NewHistory
SCCOSouthern Copper CorpStock3,616$218.4K<0.1%+3,616NewHistory
CQPCheniere Energy Partners, L.P.COM UNIT3,841$218.5K<0.1%+11+0.3%AddedHistory
ESTCElastic N.V.ORD SHS4,248$218.8K<0.1%−79−1.8%ReducedHistory
DYDycom Industries IncCOM2,350$220.0K<0.1%−610−20.6%ReducedHistory
CRKComstock Resources IncCOM16,063$220.2K<0.1%+3,263+25.5%AddedHistory
ETF Ser Solutions26922B642APTUS ENHANCED8,802$220.7K<0.1%+8,802New–
AMPAmeriprise Financial IncCOM711$221.6K<0.1%+711NewHistory
UNLUnited States 12 Month Natural Gas Fund, LPUNIT BEN INT12,954$223.2K<0.1%+12,954NewHistory
iShares Tr464288752US HOME CONS ETF3,715$225.2K<0.1%−1,755−32.1%Reduced–
JFRNuveen Floating Rate Income FundCOM28,484$225.6K<0.1%−3,913−12.1%ReducedHistory
TAPMolson Coors Beverage CoCL B4,382$225.8K<0.1%−196−4.3%ReducedHistory
iShares U.S. Regional Banks ETF464288778ETF4,740$225.8K<0.1%−588−11.0%Reduced–
First Tr Exchange Traded FD33738R878DORSEY WRIGHT6,452$225.9K<0.1%−494−7.1%Reduced–
Innovator ETFs Trust45782C631INTERNATIONAL DV9,510$226.1K<0.1%+9,510New–
APAAPA CorpStock4,848$226.3K<0.1%+4,848NewHistory
Innovator ETFs Trust45782C680US EQTY PWR BF8,066$228.7K<0.1%00.0%Unchanged–
Innovator ETFs Trust45782C722INTRNL DEV JULY9,599$228.9K<0.1%+9,599New–
INABIN8BIO, Inc.COM99,150$229.0K<0.1%+400+0.4%AddedHistory
Vanguard Mortgage-Backed Securities ETF92206C771ETF5,044$229.6K<0.1%+494+10.9%Added–
BDJBlackRock Enhanced Equity Dividend TrustCOM25,507$229.8K<0.1%+1,775+7.5%AddedHistory
iShares Tr464288786U.S. INSRNCE ETF2,516$230.0K<0.1%+2,516New–
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM21,255$230.8K<0.1%−1,179−5.3%ReducedHistory
DBLDoubleLine Opportunistic Credit FundCOM15,572$231.2K<0.1%+35+0.2%AddedHistory
ICEIntercontinental Exchange, Inc.Stock2,256$231.5K<0.1%+2,256NewHistory
JPMorgan Chase & Co46625H365ALERIAN ML ETN10,746$233.7K<0.1%−537−4.8%Reduced–
TWLOTwilio IncCL A4,778$234.0K<0.1%+78+1.7%AddedHistory
HOGHarley-Davidson, Inc.COM5,634$234.4K<0.1%−206−3.5%ReducedHistory
TPLTexas Pacific Land CorpStock100$234.6K<0.1%+100NewHistory
DOXAmdocs LtdSHS2,581$234.6K<0.1%−5−0.2%ReducedHistory
Dimensional ETF Trust25434V815US SMALL CAP ETF9,483$234.9K<0.1%+9,483New–
GIBCgi IncCL A2,729$235.0K<0.1%00.0%UnchangedHistory
DHIHorton D R IncCOM2,638$235.2K<0.1%−19,671−88.2%ReducedHistory
LTCLTC Properties IncREIT6,639$235.9K<0.1%−17−0.3%ReducedHistory
ESSEssex Property Trust, Inc.COM1,116$236.6K<0.1%+1,116NewHistory
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,214$237.2K<0.1%+20.0%Added–
JPMorgan Nasdaq Equity Premium Income ETF46654Q203ETF5,821$237.5K<0.1%−23,554−80.2%Reduced–
BWABorgwarner IncCOM5,916$238.1K<0.1%+5,916NewHistory
Invesco Exchange Traded FD T46137V373S&P500 EQL STP1,397$238.2K<0.1%+1,397New–
NXHNeighborhood Intelligence, Inc.COM12,309$238.3K<0.1%+458+3.9%AddedHistory
iShares Core MSCI Europe ETF46434V738ETF5,020$238.5K<0.1%−1,918−27.6%Reduced–
EVGEaton Vance Short Duration Diversified Income FundCOM23,404$238.5K<0.1%−3,004−11.4%ReducedHistory
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW5,351$239.0K<0.1%+208+4.0%Added–
EIXEdison InternationalStock3,762$239.4K<0.1%−388−9.3%ReducedHistory
JDJD.com, Inc.SPON ADS CL A4,266$239.5K<0.1%−16−0.4%ReducedHistory
SNYSanofiSPONSORED ADR4,972$240.8K<0.1%+4,972NewHistory
Global X FDS37954Y848GLOBAL X SILVER8,557$241.1K<0.1%−15−0.2%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