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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
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF13,429$398.7K<0.1%−654−4.6%Reduced–
CALYCallaway Golf CoCOM20,208$399.1K<0.1%+610+3.1%AddedHistory
BIGGQFormer BL Stores IncCOM27,214$400.1K<0.1%+27,214NewHistory
Invesco Exch Traded FD Tr II46138G706SOLAR ETF5,486$400.1K<0.1%−558−9.2%Reduced–
ELEstee Lauder Companies IncCL A1,626$403.6K<0.1%+35+2.2%AddedHistory
BABAAlibaba Group Holding LtdADR4,585$403.9K<0.1%−210−4.4%ReducedHistory
LNTAlliant Energy CorpStock7,330$404.7K<0.1%+54+0.7%AddedHistory
FRMEFirst Merchants CorpCOM9,881$406.2K<0.1%+81+0.8%AddedHistory
BSXBoston Scientific CorpStock8,781$406.3K<0.1%−16−0.2%ReducedHistory
CMGChipotle Mexican Grill IncCOM293$407.5K<0.1%+4+1.4%AddedHistory
CHDChurch & Dwight Co IncCOM5,072$408.9K<0.1%−154−2.9%ReducedHistory
First Tr Exchng Traded FD VI33740F847FT VEST US EQT11,525$409.4K<0.1%+3,920+51.5%Added–
SPGSimon Property Group Inc.REIT3,514$412.9K<0.1%00.0%UnchangedHistory
ULTAUlta Beauty, Inc.Stock881$413.3K<0.1%−19−2.1%ReducedHistory
BLDRBuilders FirstSource, Inc.Stock6,371$413.4K<0.1%−489−7.1%ReducedHistory
MASIMasimo CorpCOM2,802$414.6K<0.1%+2+0.1%AddedHistory
FTNTFortinet, Inc.Stock8,499$415.5K<0.1%−2,347−21.6%ReducedHistory
LZBLa-Z-Boy IncCOM18,253$416.6K<0.1%−78−0.4%ReducedHistory
iShares Inc464286319EM MKTS DIV ETF17,331$418.0K<0.1%−3,236−15.7%Reduced–
WisdomTree Tr97717X669US QTLY DIV GRT6,945$419.2K<0.1%+6,945New–
LEGLeggett & Platt IncStock13,015$419.5K<0.1%+2,224+20.6%AddedHistory
IMOImperial Oil LtdCOM NEW8,659$422.1K<0.1%−529−5.8%ReducedHistory
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF1,738$422.5K<0.1%−235−11.9%Reduced–
iShares Tr464287184CHINA LG-CAP ETF14,935$422.7K<0.1%+14,935New–
TTETotalEnergies SESPONSORED ADS6,814$423.1K<0.1%−1,156−14.5%ReducedHistory
AGNTAGNT, Inc.COM38,388$425.3K<0.1%+2,957+8.3%AddedHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM37,488$426.2K<0.1%+3,686+10.9%AddedHistory
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER9,161$427.1K<0.1%−220−2.3%Reduced–
LINLinde PLCSHS1,309$427.1K<0.1%−89−6.4%ReducedHistory
Global X FDS37954Y475S&P 500 COVERED10,851$427.2K<0.1%+1,654+18.0%Added–
HLTHilton Worldwide Holdings Inc.COM3,384$427.6K<0.1%+69+2.1%AddedHistory
WYWeyerhaeuser CoCOM NEW13,796$427.7K<0.1%−308−2.2%ReducedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP8,522$427.9K<0.1%−482−5.4%ReducedHistory
Innovator ETFs Trust45782C789US EQTY BUFR JUL13,890$429.4K<0.1%+3,593+34.9%Added–
Alps ETF Tr00162Q387OSHARES US QUALT10,366$429.5K<0.1%−187−1.8%Reduced–
VFCV F CorpStock15,599$430.7K<0.1%+15,599NewHistory
RVTYRevvity, Inc.COM3,071$430.7K<0.1%−124−3.9%ReducedHistory
First Tr Energy Income & Gro33738G104COM30,356$430.8K<0.1%−17,110−36.0%Reduced–
DNPDNP Select Income Fund IncCOM38,404$432.1K<0.1%−752−1.9%ReducedHistory
EEExcelerate Energy, Inc.CL A COM17,300$433.4K<0.1%+17,300NewHistory
ZSZscaler, Inc.Stock3,877$433.8K<0.1%−199−4.9%ReducedHistory
Vanguard Emerging Markets Government Bond ETF921946885ETF7,118$434.1K<0.1%−108−1.5%Reduced–
TSMTaiwan Semiconductor Manufacturing Co LtdADR5,856$436.2K<0.1%+541+10.2%AddedHistory
FANGDiamondback Energy, Inc.Stock3,192$436.7K<0.1%−101−3.1%ReducedHistory
iShares Tr46435G102CONV BD ETF6,304$438.0K<0.1%−2,420−27.7%Reduced–
Pacer Trendpilot US Mid Cap ETF69374H204ETF14,034$438.0K<0.1%−858−5.8%Reduced–
FASTFastenal CoStock9,313$440.7K<0.1%−4,335−31.8%ReducedHistory
BEPCBrookfield Renewable CorpCL A SUB VTG16,042$441.8K<0.1%−105−0.7%ReducedHistory
KRNTKornit Digital Ltd.SHS19,260$442.4K<0.1%−884−4.4%ReducedHistory
PLAYDave & Buster's Entertainment, Inc.COM12,489$442.6K<0.1%−16−0.1%ReducedHistory
iShares Tr464287549EXPND TEC SC ETF1,583$443.3K<0.1%−53−3.2%Reduced–
IDXXIDEXX Laboratories IncCOM1,088$443.9K<0.1%+32+3.0%AddedHistory
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW8,304$444.2K<0.1%−1,675−16.8%Reduced–
Innovator ETFs Trust45782C698US EQUT BUFR AUG14,860$445.1K<0.1%+508+3.5%Added–
First Tr Exchange-Traded FD33738D879FT VEST RIS20,973$446.5K<0.1%+20,973New–
KYNBKyntra Bio, Inc.COM27,905$447.0K<0.1%00.0%UnchangedHistory
Vanguard Scottsdale FDS92206C664VNG RUS2000IDX6,360$447.6K<0.1%−520−7.6%Reduced–
SITESiteOne Landscape Supply, Inc.COM3,817$447.8K<0.1%+299+8.5%AddedHistory
Pacer FDS Tr69374H717LUNT LRG CP ALTR11,095$448.9K<0.1%+1,600+16.9%Added–
Kraneshares Trust500767652MOUNT LUCAS ETF14,714$449.5K<0.1%+9,177+165.7%Added–
iShares Tr464287119MORNINGSTAR GRWT9,263$450.9K<0.1%−3,481−27.3%Reduced–
EPREpr PropertiesCOM SH BEN INT11,966$451.4K<0.1%+3,448+40.5%AddedHistory
DFSDiscover Financial ServicesCOM4,633$453.3K<0.1%+43+0.9%AddedHistory
PNRPENTAIR plcSHS10,082$453.5K<0.1%−2,152−17.6%ReducedHistory
HZNPHorizon Therapeutics Public Ltd CoSHS3,993$454.5K<0.1%−1,055−20.9%ReducedHistory
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF7,029$454.9K<0.1%−121−1.7%Reduced–
iShares Tr464288737GLB CNSM STP ETF7,667$457.3K<0.1%−36−0.5%Reduced–
REGNRegeneron Pharmaceuticals, Inc.COM635$458.1K<0.1%+142+28.8%AddedHistory
SPDR Series Trust78468R200ST STR RATE ETF15,117$459.4K<0.1%+3,754+33.0%Added–
ANAutonation, Inc.COM4,290$460.4K<0.1%−1,612−27.3%ReducedHistory
Vanguard Financials ETF92204A405ETF5,573$461.1K<0.1%−1,347−19.5%Reduced–
DOCNDigitalOcean Holdings, Inc.COM18,105$461.1K<0.1%−2,472−12.0%ReducedHistory
Innovator ETFs Trust45782C318US EQTY PWR BUF16,441$461.8K<0.1%−1,250−7.1%Reduced–
iShares Tr46434V647GLOBAL REIT ETF20,413$463.6K<0.1%−744−3.5%Reduced–
Innovator ETFs Trust45782C409US EQTY BUFR JAN14,103$466.0K<0.1%+5,563+65.1%Added–
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US8,045$466.1K<0.1%00.0%Unchanged–
Dimensional ETF Trust25434V724US MKTWIDE VALUE13,946$466.9K<0.1%+3,933+39.3%Added–
Flagstar Bank, National Association649445103COM54,722$470.6K<0.1%+54,722New–
GNWGenworth Financial IncCOM SHS89,433$473.1K<0.1%−7,872−8.1%ReducedHistory
MGMMGM Resorts InternationalStock14,196$476.0K<0.1%−5,848−29.2%ReducedHistory
Invesco Exchange Traded FD T46137V621FINL PFD ETF33,283$479.3K<0.1%−6,169−15.6%Reduced–
Global X FDS37954Y459RUSSELL 200025,551$480.6K<0.1%+1,064+4.3%Added–
LQDALiquidia CorpCOM NEW75,465$480.7K<0.1%+6,890+10.0%AddedHistory
NETCloudflare, Inc.CL A COM10,662$482.1K<0.1%−1,570−12.8%ReducedHistory
AMAntero Midstream CorpStock44,847$483.9K<0.1%−466−1.0%ReducedHistory
SPDR Series Trust78464A581ST STR SP HCEQ5,408$486.2K<0.1%−227−4.0%Reduced–
Innovator U.S. Equity Buffer ETF - October45782C771ETF15,332$487.0K<0.1%+8,311+118.4%Added–
WisdomTree Tr97717W786INTL DIV EX FINL13,509$487.9K<0.1%−1,616−10.7%Reduced–
CAHCardinal Health IncStock6,350$488.2K<0.1%+520+8.9%AddedHistory
PTYPIMCO Corporate & Income Opportunity FundCOM40,953$491.9K<0.1%+368+0.9%AddedHistory
RPMRPM International IncCOM5,057$492.8K<0.1%+7+0.1%AddedHistory
Vanguard Mun BD FDS922907746TAX EXEMPT BD9,968$493.3K<0.1%−662−6.2%Reduced–
Flexshares Tr33939L662HIG YLD VL ETF12,441$495.8K<0.1%−372−2.9%Reduced–
CNACna Financial CorpCOM11,751$496.9K<0.1%+1,131+10.6%AddedHistory
iShares Global Clean Energy ETF464288224ETF25,228$500.8K<0.1%−3,893−13.4%Reduced–
WBDWarner Bros. Discovery, Inc.Stock52,852$501.0K<0.1%−5,829−9.9%ReducedHistory
LPXLouisiana-Pacific CorpCOM8,526$504.8K<0.1%+1,871+28.1%AddedHistory
SPDR Series Trust78464A284ST NUVE HIGH ETF10,316$505.2K<0.1%−2,422−19.0%Reduced–
POOLPool CorpCOM1,671$505.4K<0.1%−23−1.4%ReducedHistory
MFICMidCap Financial Investment CorpCOM NEW44,392$506.1K<0.1%+369+0.8%AddedHistory

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