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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
ATOAtmos Energy CorpCOM2,733$306.3K<0.1%−224−7.6%ReducedHistory
CXTCrane NXT, Co.COM3,052$306.6K<0.1%−39−1.3%ReducedHistory
ARK ETF Tr00214Q203AUTNMUS TECHNLGY7,486$307.0K<0.1%−2,010−21.2%Reduced–
PBIPitney Bowes IncCOM80,894$307.4K<0.1%−4,456−5.2%ReducedHistory
Global X FDS37954Y814FINTECH ETF16,009$308.2K<0.1%−930−5.5%Reduced–
EMNEastman Chemical CoStock3,818$311.0K<0.1%+770+25.3%AddedHistory
Pacer Trendpilot US Bond ETF69374H642ETF15,471$311.1K<0.1%−6,137−28.4%Reduced–
SNPSSynopsys IncCOM975$311.3K<0.1%−4−0.4%ReducedHistory
STXSeagate Technology Holdings plcORD SHS5,920$311.5K<0.1%−484−7.6%ReducedHistory
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF5,001$311.7K<0.1%−1,797−26.4%Reduced–
Innovator ETFs Trust45782C557US EQTY BUF DEC9,793$312.5K<0.1%+9,793New–
Lattice Strategies Tr518416409HARTFORD US EQTY8,009$312.6K<0.1%+1,905+31.2%Added–
Invesco Exch TRD SLF Idx FD46138J791BULSHS 2026 CB16,567$313.5K<0.1%+16,567New–
Flexshares Tr33939L670CRE SLCT BD FD14,295$313.6K<0.1%−450−3.1%Reduced–
CHTRCharter Communications, Inc.CL A924$313.7K<0.1%−167−15.3%ReducedHistory
iShares Tr464288703MRNING SM CP ETF6,060$315.5K<0.1%−229−3.6%Reduced–
SKTTanger Inc.COM17,641$316.5K<0.1%−813−4.4%ReducedHistory
iShares Tr46435U184IBONDS 24 TRM HG13,954$316.9K<0.1%+13,954New–
Invesco Exchange Traded FD T46137V746LARG CAP GRO ETF5,309$317.2K<0.1%+258+5.1%Added–
ZZillow Group, Inc.CL C CAP STK9,859$317.6K<0.1%+9,859NewHistory
SPDR Ser Tr78464A813S&P 600 SML CAP3,896$320.3K<0.1%−98−2.5%Reduced–
AGNCAGNC Investment Corp.REIT31,105$321.9K<0.1%+8,503+37.6%AddedHistory
CORCencora, Inc.Stock1,954$323.8K<0.1%−141−6.7%ReducedHistory
NVONovo Nordisk A SADR2,396$324.3K<0.1%−292−10.9%ReducedHistory
ZIMZIM Integrated Shipping Services Ltd.SHS18,920$325.2K<0.1%+18,920NewHistory
GLBEGlobal-E Online Ltd.SHS15,844$327.0K<0.1%−2,308−12.7%ReducedHistory
Vanguard Industrials ETF92204A603ETF1,797$328.3K<0.1%−94−5.0%Reduced–
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT10,594$328.3K<0.1%−223−2.1%ReducedHistory
SPLKSplunk IncCOM3,824$329.2K<0.1%00.0%UnchangedHistory
HIIHuntington Ingalls Industries, Inc.COM1,432$330.3K<0.1%+484+51.1%AddedHistory
BFHBread Financial Holdings, Inc.COM8,787$330.9K<0.1%+722+9.0%AddedHistory
PAYCPaycom Software, Inc.Stock1,072$332.7K<0.1%00.0%UnchangedHistory
BRBroadridge Financial Solutions, Inc.Stock2,480$332.7K<0.1%−628−20.2%ReducedHistory
CPCanadian Pacific Kansas City LtdCOM4,460$332.7K<0.1%+1,454+48.4%AddedHistory
ETF Ser Solutions26922A289DEFIANCE CONNECT11,151$333.1K<0.1%−406−3.5%Reduced–
iShares Inc46434G863ESG AWR MSCI EM11,086$333.4K<0.1%−6,495−36.9%Reduced–
OLNOLIN CorpStock6,330$335.2K<0.1%+415+7.0%AddedHistory
OVVOvintiv Inc.COM6,612$335.3K<0.1%+37+0.6%AddedHistory
PSAPublic StorageCOM1,199$336.0K<0.1%+58+5.1%AddedHistory
BAXBaxter International IncStock6,604$336.6K<0.1%+716+12.2%AddedHistory
ETF Ser Solutions26922A172NATIONWIDE RSK18,257$337.8K<0.1%+590+3.3%Added–
Dimensional ETF Trust25434V807INTERNATNAL VAL11,124$338.2K<0.1%+11,124New–
First Tr Exchange-Traded FD33733A201DOW 30 EQL WGT11,797$340.1K<0.1%−47−0.4%Reduced–
GXOGXO Logistics, Inc.Stock7,994$341.3K<0.1%+615+8.3%AddedHistory
CNCCentene CorpStock4,182$343.0K<0.1%−250−5.6%ReducedHistory
Schwab Strategic Tr808524862SHT TM US TRES7,155$345.2K<0.1%+398+5.9%Added–
PIMCO ETF Tr72201R7830-5 HIGH YIELD3,871$345.6K<0.1%−1,140−22.7%Reduced–
CIKUBS Asset Management Income Fund, Inc.COM137,148$345.6K<0.1%+1,388+1.0%AddedHistory
XIFRXPLR Infrastructure, LPCOM UNIT PART IN4,938$346.1K<0.1%+44+0.9%AddedHistory
Dimensional ETF Trust25434V401US EQUI MARK ETF8,361$347.9K<0.1%−58−0.7%Reduced–
Innovator ETFs Trust45782C573US EQTY PWR BUF11,561$349.0K<0.1%+11,561New–
DINDine Brands Global, Inc.COM5,406$349.2K<0.1%+197+3.8%AddedHistory
BUDAnheuser-Busch InBev SA/NVADR5,842$350.8K<0.1%+302+5.5%AddedHistory
SYBTStock Yards Bancorp, Inc.COM5,413$351.8K<0.1%+50+0.9%AddedHistory
RETAReata Pharmaceuticals IncCL A9,295$353.1K<0.1%−92−1.0%ReducedHistory
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF107,348$353.3K<0.1%+20,789+24.0%Added–
Capital Group Growth ETF14020G101SHS CREAT UNIT17,732$353.6K<0.1%+17,732New–
Innovator ETFs Trust45783Y814LADERD ALCTN PWR10,318$354.9K<0.1%00.0%Unchanged–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF7,007$355.1K<0.1%+242+3.6%Added–
TFCTruist Financial CorpCOM8,297$357.0K<0.1%−1,744−17.4%ReducedHistory
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF3,245$357.2K<0.1%−55−1.7%Reduced–
VSTOVista Outdoor Inc.COM14,662$357.3K<0.1%−432−2.9%ReducedHistory
First Tr Exchange Traded FD33738R688S&P INTL DIVID23,331$357.4K<0.1%−3,654−13.5%Reduced–
Pieris Pharmaceuticals Inc720795103COM343,934$357.7K<0.1%+28,300+9.0%Added–
Paramount Global92556H206CL B21,200$357.9K<0.1%+5,066+31.4%Added–
First Tr Exchange-Traded FD33737A108NASDQ CLN EDGE4,112$358.8K<0.1%−700−14.5%Reduced–
BENFranklin Templeton IncCOM13,604$358.9K<0.1%+1,416+11.6%AddedHistory
Victory Portfolios II92647N527CORE BD ETF7,905$359.6K<0.1%+7,905New–
PINSPinterest, Inc.CL A14,846$360.5K<0.1%−1,752−10.6%ReducedHistory
JBHTHunt J B Transport Services IncCOM2,100$366.2K<0.1%−10−0.5%ReducedHistory
U.S. Global Jets ETF26922A842ETF21,536$367.8K<0.1%−29,396−57.7%Reduced–
Innovator ETFs Trust45782C664US EQTY BUF SEP12,131$368.0K<0.1%+1,571+14.9%Added–
Fidelity Covington Trust316092824LOW VOLITY ETF7,970$368.1K<0.1%−539−6.3%Reduced–
TSNTyson Foods, Inc.Stock5,948$370.3K<0.1%−3,860−39.4%ReducedHistory
CCLCarnival Corp Ltd.UNIT 99/99/999945,963$370.5K<0.1%−103,726−69.3%ReducedHistory
CPECallon Petroleum CoCOM10,068$373.4K<0.1%−913−8.3%ReducedHistory
Invesco S&P 500 Quality ETF46137V241ETF8,513$374.6K<0.1%+2,012+30.9%Added–
Invesco Nasdaq 100 ETF46138G649ETF3,420$374.7K<0.1%+3,420New–
OTISOtis Worldwide CorpStock4,786$374.8K<0.1%+128+2.7%AddedHistory
Vanguard Consumer Discretionary ETF92204A108ETF1,717$376.2K<0.1%−392−18.6%Reduced–
CHYCalamos Convertible & High Income FundCOM SHS35,774$377.4K<0.1%+5,777+19.3%AddedHistory
SRESempraStock2,444$377.7K<0.1%−16−0.7%ReducedHistory
CMAComerica IncCOM5,650$377.7K<0.1%−563−9.1%ReducedHistory
YUMYum Brands IncStock2,960$379.2K<0.1%+89+3.1%AddedHistory
MRSHMarsh & McLennan Companies, Inc.Stock2,306$381.7K<0.1%+31+1.4%AddedHistory
SNVSynovus Financial CorpCOM NEW10,247$384.8K<0.1%−1,401−12.0%ReducedHistory
ARK ETF Tr00214Q302GENOMIC REV ETF13,677$386.1K<0.1%−2,995−18.0%Reduced–
ETF Ser Solutions26922A446OPUS SML CP VL12,498$387.2K<0.1%+4,681+59.9%Added–
NIONIO Inc.ADR39,730$387.4K<0.1%+1,639+4.3%AddedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS38,869$387.5K<0.1%+16,904+77.0%AddedHistory
SJTSan Juan Basin Royalty TrustUNIT BEN INT34,050$388.9K<0.1%+34,050NewHistory
Agf Invts Tr00110G408US MARKET NETRL18,352$389.2K<0.1%+18,352New–
MCMoelis & CoCL A10,151$389.5K<0.1%+579+6.0%AddedHistory
iShares Tr464288521CRE U S REIT ETF7,877$389.5K<0.1%−26−0.3%Reduced–
RVTRoyce Small-Cap Trust, Inc.COM29,508$391.3K<0.1%+549+1.9%AddedHistory
DKSDick's Sporting Goods, Inc.Stock3,264$392.7K<0.1%−221−6.3%ReducedHistory
TPVGTriplePoint Venture Growth BDC Corp.COM37,765$393.9K<0.1%+15,855+72.4%AddedHistory
iShares Tr464289875CORE 40 MODE ETF10,367$394.1K<0.1%+93+0.9%Added–
Invesco Exch Traded FD Tr II46138E669GLOBAL EX US HGH20,662$396.9K<0.1%−4,439−17.7%Reduced–
First Tr Exchange-Traded Alp33737M102MID CP GR ALPH7,065$398.4K<0.1%−64−0.9%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