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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
First Tr Exchng Traded FD VI33740F680FT VEST US EQT7,889$241.8K<0.1%00.0%Unchanged–
USOUnited States Oil Fund, LPUNITS3,464$242.9K<0.1%+70+2.1%AddedHistory
GSGiShares S&P GSCI Commodity-Indexed TrustUNIT BEN INT11,491$244.0K<0.1%+580+5.3%AddedHistory
KEYKeycorpCOM14,045$244.7K<0.1%−1,201−7.9%ReducedHistory
ABAlliancebernstein Holding L.P.UNIT LTD PARTN7,150$245.8K<0.1%+533+8.1%AddedHistory
PIMCO ETF Tr72201R817INV GRD CRP BD2,643$245.9K<0.1%+125+5.0%Added–
EGLEEagle Bulk Shipping Inc.COM4,924$245.9K<0.1%+4,924NewHistory
Global X FDS37950E291GLOBX SUPDV US13,115$246.4K<0.1%−2,432−15.6%Reduced–
NMAINuveen Multi-Asset Income FundCOM21,459$246.6K<0.1%−8,137−27.5%ReducedHistory
JAKKJakks Pacific IncCOM NEW14,130$247.1K<0.1%+1,182+9.1%AddedHistory
iShares Tr464287192US TRSPRTION1,158$247.5K<0.1%−94−7.5%Reduced–
TDOCTeladoc Health, Inc.COM10,469$247.6K<0.1%+947+9.9%AddedHistory
GNLGlobal Net Lease, Inc.COM NEW19,786$248.7K<0.1%+616+3.2%AddedHistory
Dimensional U.S. Core Equity 2 ETF25434V708ETF10,259$249.1K<0.1%+28+0.3%Added–
ARAntero Resources CorpCOM8,087$250.6K<0.1%+8,087NewHistory
Innovator ETFs Trust45783Y756LADDERED ALC BFR10,898$251.0K<0.1%−20.0%Reduced–
ETF Managers Tr26924G102PRIME JUNIR SLVR23,844$251.6K<0.1%−24,438−50.6%Reduced–
WELLWelltower Inc.REIT3,851$252.5K<0.1%−3,174−45.2%ReducedHistory
SPDR Index Shs FDS78463X756ST MARKE CAP ETF5,169$253.0K<0.1%−109−2.1%Reduced–
Global X FDS37954Y343GLBL X MLP ETF6,134$253.3K<0.1%+6,134New–
PFGPrincipal Financial Group IncCOM3,021$253.6K<0.1%+39+1.3%AddedHistory
SPDR Series Trust78464A821ST STR SP400GRW3,881$253.6K<0.1%−4,329−52.7%Reduced–
Abrdn ETFs003261104BBRG ALL COMD K111,496$253.6K<0.1%+6+0.1%Added–
KDPKeurig Dr Pepper Inc.COM7,126$254.1K<0.1%+481+7.2%AddedHistory
ALLEAllegion plcORD SHS2,418$254.5K<0.1%00.0%UnchangedHistory
iShares Tr464287770U.S. FIN SVC ETF1,616$254.7K<0.1%+4+0.2%Added–
Flexshares Tr33939L100MORNSTAR USMKT1,720$255.6K<0.1%−11−0.6%Reduced–
CWHCamping World Holdings, Inc.CL A11,478$256.2K<0.1%+1,717+17.6%AddedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST60,178$256.4K<0.1%−5,569−8.5%Reduced–
iShares Tr464288638ISHS 5-10YR INVT5,202$257.6K<0.1%−469−8.3%Reduced–
DKNGDraftKings Inc.Stock22,619$257.6K<0.1%−6,225−21.6%ReducedHistory
AALAmerican Airlines Group Inc.Stock20,296$258.2K<0.1%−61−0.3%ReducedHistory
iShares 1-10 Year U.S. Aggregate Bond ETF464288596ETF2,526$259.2K<0.1%−1,700−40.2%Reduced–
Innovator ETFs Trust45782C755US EQTY BUFR JUN8,514$260.2K<0.1%−160−1.8%Reduced–
iShares Tr46436E569ESG SELECT SCRE9,195$261.4K<0.1%+923+11.2%Added–
JRONuveen Floating Rate Income Opportunity FundCOM SHS33,466$261.4K<0.1%+10,220+44.0%AddedHistory
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR24,598$262.0K<0.1%−20,393−45.3%ReducedHistory
BIIBBiogen Inc.COM948$262.5K<0.1%−735−43.7%ReducedHistory
iShares Tr464288844US OIL EQ&SV ETF12,402$262.9K<0.1%+1,094+9.7%Added–
MIDDMIDDLEBY CorpCOM1,965$263.1K<0.1%−4−0.2%ReducedHistory
WBSWebster Financial CorpCOM5,579$264.1K<0.1%00.0%UnchangedHistory
BHVNBiohaven Ltd.COM19,148$265.8K<0.1%+19,148NewHistory
Fidelity Covington Trust316092386STOCK FOR INFL8,592$265.9K<0.1%+172+2.0%Added–
FSLRFirst Solar, Inc.Stock1,777$266.2K<0.1%+1,777NewHistory
RBLXRoblox CorpStock9,388$267.2K<0.1%−451−4.6%ReducedHistory
State Street SPDR S&P Homebuilders ETF78464A888ETF4,458$268.9K<0.1%−2,162−32.7%Reduced–
SPDR Series Trust78468R861STATE STRET SPDR14,584$269.1K<0.1%−45,119−75.6%Reduced–
iShares Inc464286475EM MKT SM-CP ETF5,579$269.4K<0.1%−3,321−37.3%Reduced–
WYNNWynn Resorts LtdCOM3,277$270.3K<0.1%+3,277NewHistory
CCChemours CoStock8,835$270.6K<0.1%−382−4.1%ReducedHistory
Invesco Exchange Traded FD T46137V886DWA STAPLES3,290$272.0K<0.1%00.0%Unchanged–
Fidelity Covington Trust316092345BLUE CHIP VALUE9,661$272.1K<0.1%+9,661New–
IVZInvesco Ltd.Stock15,136$272.3K<0.1%−105−0.7%ReducedHistory
Cambria ETF Tr132061300CAMBRIA FGN SHR11,240$272.8K<0.1%−605−5.1%Reduced–
CPRTCopart IncCOM4,482$272.9K<0.1%−104−2.3%ReducedConverted for a 2-for-1 splitHistory
NGGNational Grid PLCSPONSORED ADR NE4,533$273.4K<0.1%−80−1.7%ReducedHistory
Flexshares Tr33939L837INTL QLTDV IDX13,278$273.9K<0.1%+13,278New–
JHGJanus Henderson Group Ltd.ORD SHS11,675$274.6K<0.1%+83+0.7%AddedHistory
SPDR Series Trust78468R523ST STR BL 12 ETF2,776$275.7K<0.1%+2,776New–
RGRSturm Ruger & Co IncStock5,450$275.9K<0.1%+10.0%AddedHistory
SLVMSylvamo CorpCOMMON STOCK5,685$276.2K<0.1%+5,685NewHistory
XYLXylem Inc.COM2,500$276.5K<0.1%−130−4.9%ReducedHistory
PDPagerDuty, Inc.COM10,437$277.2K<0.1%+585+5.9%AddedHistory
Flexshares Tr33939L506IBOXX 3R TARGT11,832$278.3K<0.1%−199−1.7%Reduced–
Fidelity Covington Trust316092790QLTY FCTOR ETF6,323$280.8K<0.1%+41+0.7%Added–
BGBunge Global SACOM2,816$281.0K<0.1%+196+7.5%AddedHistory
Dimensional ETF Trust25434V740EMERGING MKTS VA12,433$281.1K<0.1%+12,433New–
ETREntergy CorpCOM2,502$281.6K<0.1%+2,502NewHistory
PFCPremier Financial CorpCOM10,464$282.2K<0.1%+874+9.1%AddedHistory
GSLGlobal Ship Lease, Inc.COM CL A16,953$282.3K<0.1%+4,419+35.3%AddedHistory
First Tr Exchange Traded FD33741L108DORSY WR MOMNT10,764$282.9K<0.1%−852−7.3%Reduced–
iShares Tr464288505MRGSTR SM CP ETF6,225$283.9K<0.1%−252−3.9%Reduced–
Fidelity Covington Trust316092709MSCI INDL INDX5,628$285.4K<0.1%+822+17.1%Added–
ASHAshland Inc.COM2,659$285.9K<0.1%−450−14.5%ReducedHistory
iShares Tr46435U853BROAD USD HIGH8,283$286.0K<0.1%+954+13.0%Added–
Vanguard Total World Stock ETF922042742ETF3,355$289.2K<0.1%−1,209−26.5%Reduced–
OCOwens CorningStock3,398$289.9K<0.1%+10+0.3%AddedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT79,893$290.0K<0.1%+1,577+2.0%AddedHistory
ESTEEarthstone Energy IncCL A20,398$290.3K<0.1%−365−1.8%ReducedHistory
SPHSuburban Propane Partners LPUNIT LTD PARTN19,163$290.9K<0.1%−182−0.9%ReducedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS25,709$292.1K<0.1%−3,846−13.0%Reduced–
iShares Inc46434G855MSCI GBL GOLD MN13,084$292.2K<0.1%+13,084New–
DINOHF Sinclair CorpCOM5,636$292.5K<0.1%+686+13.9%AddedHistory
IDCCInterDigital, Inc.COM5,914$292.7K<0.1%−101−1.7%ReducedHistory
DDOGDatadog, Inc.CL A COM3,984$292.8K<0.1%+543+15.8%AddedHistory
RTLNecessity Retail REIT, Inc.COM CLASS A49,459$293.3K<0.1%−3,078−5.9%ReducedHistory
DOVDOVER CorpCOM2,173$294.3K<0.1%+278+14.7%AddedHistory
VTRSViatris IncStock26,471$294.6K<0.1%−242−0.9%ReducedHistory
NEMNEWMONT CorpStock6,253$295.2K<0.1%+1,359+27.8%AddedHistory
HRHealthcare Realty Trust IncCL A COM15,521$299.1K<0.1%−3,392−17.9%ReducedHistory
JEFJefferies Financial Group Inc.COM8,779$301.0K<0.1%−280−3.1%ReducedHistory
KLACKLA CorpCOM NEW800$301.9K<0.1%−99−11.0%ReducedHistory
TRTNTriton International LtdCL A4,406$303.0K<0.1%+151+3.5%AddedHistory
INTUIntuit Inc.Stock779$303.4K<0.1%−126−13.9%ReducedHistory
CHWCalamos Global Dynamic Income FundCOM54,428$303.7K<0.1%+270.0%AddedHistory
Abrdn ETFs003261203BBRG ALL COMMDY8,796$304.3K<0.1%−10,707−54.9%Reduced–
FOURShift4 Payments, Inc.CL A5,442$304.4K<0.1%+5,442NewHistory
NBBNuveen Taxable Municipal Income FundCOM19,100$304.8K<0.1%+4,800+33.6%AddedHistory
BHKBlackRock Core Bond TrustSHS BEN INT29,429$305.5K<0.1%−652−2.2%ReducedHistory
Invesco Exchange Traded FD T46137V266S&P500 PUR GWT2,018$306.0K<0.1%+8+0.4%Added–

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