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Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q2 2023

Holdings as of Jun 30, 2023, filed Aug 2, 2023. Long positions only; changes compare share counts with Q1 2023.

Institution overview
Positions
1,199
−94 vs. Q1 2023
Portfolio value
$2.78B
−$224.3M (−7.5%) vs. Q1 2023
Filed
Aug 2, 2023
SEC
Holdings of Sigma Planning Corp in Q2 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
AAPLApple Inc.Stock823,935$159.8M5.7%−68,705−7.7%ReducedHistory
iShares Core S&P 500 ETF464287200ETF329,651$146.9M5.3%−16,132−4.7%Reduced–
MSFTMicrosoft CorpStock170,856$58.2M2.1%−9,866−5.5%ReducedHistory
Invesco QQQ Trust Series I46090E103ETF135,665$50.1M1.8%−24,029−15.0%Reduced–
AMZNAmazon Com IncStock371,408$48.4M1.7%−27,294−6.8%ReducedHistory
iShares Core Dividend Growth ETF46434V621ETF878,921$45.3M1.6%−7,294−0.8%Reduced–
SPYSPDR S&P 500 ETF TrustETF82,259$36.5M1.3%+1,805+2.2%AddedHistory
Vanguard S&P 500 ETF922908363ETF77,011$31.4M1.1%+2,108+2.8%Added–
iShares S&P 500 Growth ETF464287309ETF437,419$30.8M1.1%+3,769+0.9%Added–
NVDANVIDIA CorpStock69,760$29.5M1.1%−16,499−19.1%ReducedHistory
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242ETF259,289$28.0M1.0%+1,042+0.4%Added–
Schwab US Dividend Equity ETF808524797ETF380,808$27.7M1.0%−106,189−21.8%Reduced–
Pacer US Cash Cows 100 ETF69374H881ETF541,219$25.9M0.9%+29,897+5.8%Added–
First Tr Exchng Traded FD VI33740F862FT VEST US EQT642,494$24.8M0.9%+636,674+10,939.4%Added–
iShares Core S&P Mid-Cap ETF464287507ETF94,032$24.6M0.9%−6,194−6.2%Reduced–
iShares Core S&P Small Cap ETF464287804ETF244,946$24.4M0.9%−25,231−9.3%Reduced–
GLDSPDR Gold TrustETF134,845$24.0M0.9%−1,772−1.3%ReducedHistory
GOOGAlphabet Inc.Stock166,923$20.2M0.7%−5,829−3.4%ReducedHistory
TSLATesla, Inc.Stock76,219$20.0M0.7%+7,154+10.4%AddedHistory
iShares Tr46429B655FLTG RATE NT ETF372,762$18.9M0.7%+110,057+41.9%Added–
iShares S&P 500 Value ETF464287408ETF107,811$17.4M0.6%−5,946−5.2%Reduced–
BRK.BBerkshire Hathaway IncStock50,261$17.1M0.6%+2,662+5.6%AddedHistory
iShares Core U.S. Aggregate Bond ETF464287226ETF173,976$17.0M0.6%−51,169−22.7%Reduced–
iShares Tr4642874571 3 YR TREAS BD198,631$16.1M0.6%−46,676−19.0%Reduced–
GOOGLAlphabet Inc.Stock131,096$15.7M0.6%−6,225−4.5%ReducedHistory
First Tr Exchange-Traded FD33739Q408FIRST TR ENH NEW260,675$15.5M0.6%−3,426−1.3%Reduced–
VanEck Morningstar Wide Moat ETF92189F643ETF191,492$15.3M0.5%+81,440+74.0%Added–
iShares Tr464287150CORE S&P TTL STK154,421$15.1M0.5%−12,834−7.7%Reduced–
JNJJohnson & JohnsonStock89,944$14.9M0.5%−15,836−15.0%ReducedHistory
iShares Tr464288646ISHS 1-5YR INVS288,390$14.5M0.5%+21,092+7.9%Added–
iShares MSCI USA Min Vol Factor ETF46429B697ETF194,300$14.4M0.5%−103,892−34.8%Reduced–
iShares Tr464288414NATIONAL MUN ETF125,351$13.4M0.5%+3,725+3.1%Added–
J P Morgan Exchange Traded F46641Q332EQUITY PREMIUM230,124$12.7M0.5%−211,043−47.8%Reduced–
First Tr Exchng Traded FD VI33740F805SMITH OPPORT FXD287,564$12.7M0.5%+12,519+4.6%Added–
ABBVAbbVie Inc.Stock92,572$12.5M0.4%−10,125−9.9%ReducedHistory
JPMJPMorgan Chase & CoStock85,688$12.5M0.4%−17,337−16.8%ReducedHistory
State Street Energy Select Sector SPDR ETF81369Y506ETF147,085$11.9M0.4%−23,285−13.7%Reduced–
First Tr Exchange-Traded FD33739Q200FST LOW OPPT EFT249,000$11.9M0.4%+4,334+1.8%Added–
PGProcter & Gamble CoStock77,293$11.7M0.4%−6,612−7.9%ReducedHistory
First Tr Exchange-Traded FD33733E104CAP STRENGTH ETF155,555$11.7M0.4%−43,684−21.9%Reduced–
XOMExxonMobil Holdings CorpCOM107,896$11.6M0.4%−12,971−10.7%ReducedHistory
HDHome Depot, Inc.Stock35,978$11.2M0.4%−4,576−11.3%ReducedHistory
State Street Health Care Select Sector SPDR ETF81369Y209ETF82,478$10.9M0.4%+8,851+12.0%Added–
LLYEli Lilly & CoStock22,995$10.8M0.4%−1,007−4.2%ReducedHistory
Fidelity MSCI Health Care Index ETF316092600ETF168,432$10.6M0.4%−7,672−4.4%Reduced–
State Street Technology Select Sector SPDR ETF81369Y803ETF60,778$10.6M0.4%+757+1.3%Added–
Vanguard Morningstar Value ETF922908744ETF72,228$10.3M0.4%−3,384−4.5%Reduced–
VZVerizon Communications IncStock272,540$10.1M0.4%−24,382−8.2%ReducedHistory
iShares Core S&P US Value ETF464287663ETF123,783$9.69M0.3%−365−0.3%Reduced–
First Tr Exchange-Traded FD336917109SHS273,087$9.29M0.3%−376,085−57.9%Reduced–
NEENextera Energy IncStock121,845$9.04M0.3%−11,526−8.6%ReducedHistory
VVisa Inc.Stock37,972$9.02M0.3%−6,698−15.0%ReducedHistory
JPMorgan Ultra-Short Income ETF46641Q837ETF179,794$9.01M0.3%−203,154−53.1%Reduced–
iShares Tr46434V878ULTRA SHORT DUR177,964$8.95M0.3%+26,519+17.5%Added–
First Trust Rising Dividend Achievers ETF33738R506ETF189,319$8.92M0.3%−259,991−57.9%Reduced–
COSTCostco Wholesale CorpStock16,325$8.79M0.3%−1,927−10.6%ReducedHistory
WMWaste Management IncStock49,432$8.57M0.3%−3,699−7.0%ReducedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF38,291$8.43M0.3%−5,061−11.7%Reduced–
iShares Core MSCI Eafe ETF46432F842ETF120,465$8.13M0.3%−3,586−2.9%Reduced–
Innovator ETFs Trust45783Y855DEFINED WLT SHLD290,663$8.11M0.3%+106,076+57.5%Added–
First Tr Exchng Traded FD VI33740F888SMIT UNCO BD ETF333,578$8.06M0.3%−26,309−7.3%Reduced–
iShares MSCI USA Momentum Factor ETF46432F396ETF55,876$8.06M0.3%−6,542−10.5%Reduced–
METAMeta Platforms, Inc.Stock27,846$7.99M0.3%−7,203−20.6%ReducedHistory
First Tr Exchange-Traded FD33734H106SHS198,285$7.95M0.3%−141,371−41.6%Reduced–
UNHUnitedHealth Group IncStock16,175$7.77M0.3%−3,294−16.9%ReducedHistory
MCDMcDonalds CorpStock25,410$7.58M0.3%−3,483−12.1%ReducedHistory
CVXChevron CorpStock47,730$7.51M0.3%−9,069−16.0%ReducedHistory
Schwab U.S. Large-Cap ETF808524201ETF142,720$7.47M0.3%+3,463+2.5%Added–
PEPPepsiCo IncStock40,020$7.41M0.3%−8,314−17.2%ReducedHistory
Vanguard Ftse Developed Markets ETF921943858ETF156,447$7.22M0.3%−8,599−5.2%Reduced–
iShares MSCI USA Quality Factor ETF46432F339ETF53,210$7.18M0.3%+11,380+27.2%Added–
WMTWalmart Inc.Stock44,309$6.96M0.3%−9,531−17.7%ReducedHistory
CRMSalesforce, Inc.Stock32,727$6.91M0.2%−1,720−5.0%ReducedHistory
CATCaterpillar IncStock27,948$6.88M0.2%−3,159−10.2%ReducedHistory
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL171,293$6.79M0.2%+14,606+9.3%Added–
BABoeing CoStock32,097$6.78M0.2%−9,212−22.3%ReducedHistory
IAUiShares Gold TrustETF184,962$6.73M0.2%+574+0.3%AddedHistory
DISWalt Disney CoStock74,820$6.68M0.2%−15,275−17.0%ReducedHistory
Pacer Trendpilot US Large Cap ETF69374H105ETF157,545$6.51M0.2%−34,013−17.8%Reduced–
iShares Tr46434V613CORE UNIVRSL USD142,420$6.48M0.2%+18,417+14.9%Added–
Capital Group Dividend Value14020W106SHS CREAT UNIT238,610$6.45M0.2%+112,486+89.2%Added–
Vanguard Intermediate-Term Bond ETF921937819ETF85,020$6.40M0.2%−9,292−9.9%Reduced–
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD83,172$6.29M0.2%−30,087−26.6%Reduced–
Vanguard Morningstar Mid-Cap ETF922908629ETF28,278$6.23M0.2%−20,806−42.4%Reduced–
UPSUnited Parcel Service IncStock34,244$6.14M0.2%−8,323−19.6%ReducedHistory
FFord Motor CoStock404,065$6.11M0.2%−118,391−22.7%ReducedHistory
KOCoca Cola CoStock101,110$6.09M0.2%−16,168−13.8%ReducedHistory
State Street Financial Select Sector SPDR ETF81369Y605ETF180,332$6.08M0.2%−79,890−30.7%Reduced–
PFEPfizer IncStock165,155$6.06M0.2%−29,477−15.1%ReducedHistory
iShares S&P Small-Cap 600 Growth ETF464287887ETF52,609$6.05M0.2%+64+0.1%Added–
iShares U.S. Medical Devices ETF464288810ETF106,644$6.02M0.2%−41,554−28.0%Reduced–
MOAltria Group, Inc.Stock132,315$5.99M0.2%−16,135−10.9%ReducedHistory
iShares S&P Small-Cap 600 Value ETF464287879ETF61,956$5.89M0.2%−5,422−8.0%Reduced–
MRKMerck & Co., Inc.Stock50,977$5.88M0.2%−23,614−31.7%ReducedHistory
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT39,259$5.87M0.2%−18,804−32.4%Reduced–
State Street Consumer Staples Select Sector SPDR ETF81369Y308ETF78,964$5.86M0.2%−7,911−9.1%Reduced–
iShares Core MSCI Emerging Markets ETF46434G103ETF118,231$5.83M0.2%−95,544−44.7%Reduced–
Vanguard High Dividend Yield Index ETF921946406ETF54,921$5.83M0.2%−11,745−17.6%Reduced–
iShares Select Dividend ETF464287168ETF50,529$5.72M0.2%−9,676−16.1%Reduced–
DTEDte Energy CoCOM51,225$5.64M0.2%−7,428−12.7%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 Q2 2023
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$5.81K–
AAPAdvance Auto Parts IncCOM–$2.81K
ProShares Tr74347X831ULTRAPRO QQQ–$2.46K

Sold out since Q1 2023 (178)

Positions held at the end of Q1 2023 that are gone from this filing.

The largest 100 of 178 by value last quarter.

Positions of Sigma Planning Corp sold out since Q1 2023
SecurityClassShares in Q1 2023Value in Q1 2023% of portfolio in Q1 2023History
Invesco Exchange Traded FD T46137V258S&P500 PUR VAL35,256$2.68M0.1%–
First Tr Exchange-Traded FD33734X150INDLS PROD DUR42,576$2.37M0.1%–
PRVBProvention Bio, Inc.COM92,500$2.23M0.1%History
Victory Portfolios II92647N824VCSHS US EQ INCM33,167$2.01M0.1%–
First Tr Exchange Traded FD33738R860NASDAQ BK ETF81,003$1.72M0.1%–
BROSDutch Bros Inc.CL A45,677$1.44M<0.1%History
First Tr Exchng Traded FD VI33740U208FT VEST US EQT38,442$1.39M<0.1%–
MBLYMobileye Global Inc.Stock27,250$1.18M<0.1%History
iShares Tr46435G672CORE INTL AGGR23,490$1.15M<0.1%–
First Tr Exch Traded FD III33740J203EQUITY MARKET NE53,383$1.07M<0.1%–
NTAPNetApp, Inc.Stock15,892$1.01M<0.1%History
ETF Ser Solutions26922A222APTUS COLLRD INV31,729$957.9K<0.1%–
ETF Ser Solutions26922A388APTUS DEFINED36,251$941.4K<0.1%–
APTOAptose Biosciences Inc.COM NEW1,444,550$924.5K<0.1%History
PVHPVH Corp.COM10,073$898.2K<0.1%History
PIIPolaris Inc.Stock8,064$892.2K<0.1%History
DBBInvesco DB Base Metals FundBASE METALS FD41,811$844.6K<0.1%History
VanEck ETF Trust92189F452MORTGAGE REIT74,509$842.0K<0.1%–
Nushares ETF Tr67092P201NUVEEN ESG LRGCP14,533$810.1K<0.1%–
ETF Ser Solutions26922A784APTUS DRAWDOWN23,161$801.4K<0.1%–
LYBLyondellBasell Industries N.V.SHS - A -8,109$761.4K<0.1%History
EQXEquinox Gold Corp.COM146,052$752.2K<0.1%History
BTGB2GOLD CorpCOM189,739$747.6K<0.1%History
EXKEndeavour Silver CorpCOM188,873$732.8K<0.1%History
Invesco Exch Traded FD Tr II46138E628KBW BK ETF17,334$727.5K<0.1%–
GFIGold Fields LtdSPONSORED ADR54,274$722.9K<0.1%History
ADSKAutodesk, Inc.COM3,465$721.3K<0.1%History
WRBBerkley W R CorpCOM11,194$697.0K<0.1%History
First Tr Exch TRD Alphdx FD33737J117EUROPE ALPHADEX19,645$682.8K<0.1%–
Flexshares Tr33939L845QLT DIV DEF IDX12,847$680.1K<0.1%–
FISVFiserv IncStock5,928$670.1K<0.1%History
Exchange Listed FDS Tr30151E814HIGH YIELD ETF24,358$642.2K<0.1%–
Global X FDS37960A651SUPERDVDND REIT28,490$620.2K<0.1%–
Flexshares Tr33939L670CRE SLCT BD FD26,895$606.2K<0.1%–
WisdomTree Tr97717W208US HIGH DIVIDEND6,723$553.1K<0.1%–
IBKRInteractive Brokers Group, Inc.Stock6,581$543.3K<0.1%History
First Tr Exch TRD Alphdx FD33737J182EMERG MKT ALPH24,862$527.1K<0.1%–
WisdomTree Tr97717W786INTL DIV EX FINL13,513$525.1K<0.1%–
GLBEGlobal-E Online Ltd.SHS15,721$506.7K<0.1%History
First Tr Exchange-Traded FD33738D879FT VEST RIS23,013$494.1K<0.1%–
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL4,306$488.4K<0.1%–
Invesco Exchange Traded FD T46137V738LARGE CAP VALUE10,761$487.3K<0.1%–
IVZInvesco Ltd.Stock29,601$485.5K<0.1%History
PEGPublic Service Enterprise Group IncCOM7,571$472.8K<0.1%History
J P Morgan Exchange Traded F46641Q654ULTRA SHT MUNCPL9,264$470.6K<0.1%–
MPLXMPLX LPCOM UNIT REP LTD13,640$469.9K<0.1%History
SPDR Series Trust78464A581ST STR SP HCEQ4,925$461.1K<0.1%–
PLAYDave & Buster's Entertainment, Inc.COM12,489$459.5K<0.1%History
BIGGQFormer BL Stores IncCOM40,845$447.7K<0.1%History
CALYCallaway Golf CoCOM20,248$437.8K<0.1%History
First Tr Exchng Traded FD VI33740F540SKYB CRY IND ETF88,016$434.5K<0.1%–
SPDR Series Trust78464A755ST STR SP METAL8,100$430.6K<0.1%–
AIGAmerican International Group, Inc.Stock8,184$412.2K<0.1%History
First Tr Exchng Traded FD VI33740F847FT VEST US EQT10,705$402.5K<0.1%–
ETF Ser Solutions26922A446OPUS SML CP VL12,612$392.8K<0.1%–
ZSZscaler, Inc.Stock3,354$391.8K<0.1%History
MCMoelis & CoCL A10,045$386.2K<0.1%History
Invesco Exch Traded FD Tr II46138E669GLOBAL EX US HGH19,936$383.4K<0.1%–
CHYCalamos Convertible & High Income FundCOM SHS34,563$377.4K<0.1%History
Innovator ETFs Trust45783Y814LADERD ALCTN PWR10,263$368.7K<0.1%–
Invesco Exch Traded FD Tr II46138E370S&P 500 HB ETF5,008$350.4K<0.1%–
State Street SPDR S&P Aerospace & Defense ETF78464A631ETF2,949$344.8K<0.1%–
SPDR Ser Tr78464A813S&P 600 SML CAP4,098$344.4K<0.1%–
Innovator U.S. Equity Ultra Buffer ETF - January45782C300ETF10,961$340.8K<0.1%–
ETF Ser Solutions26922A289DEFIANCE CONNECT10,216$335.0K<0.1%–
PDPagerDuty, Inc.COM9,527$333.3K<0.1%History
First Tr Exchange Traded FD33738R878DORSEY WRIGHT9,945$328.0K<0.1%–
iShares Inc46434G764MSCI EMRG CHN6,624$326.8K<0.1%–
Innovator ETFs Trust45782C680US EQTY PWR BF11,036$325.6K<0.1%–
WYNNWynn Resorts LtdCOM2,903$324.9K<0.1%History
CXTCrane NXT, Co.COM2,849$323.4K<0.1%History
BHKBlackRock Core Bond TrustSHS BEN INT29,809$323.1K<0.1%History
Global X FDS37954Y814FINTECH ETF15,221$316.9K<0.1%–
Innovator ETFs Trust45782C466GRWT100 PWR BF8,261$313.2K<0.1%–
Invesco Exchange Traded FD T46137V266S&P500 PUR GWT2,053$310.4K<0.1%–
iShares Tr464288505MRGSTR SM CP ETF6,380$302.4K<0.1%–
iShares Tr46435G102CONV BD ETF4,135$300.3K<0.1%–
Innovator ETFs Trust45782C573US EQTY PWR BUF9,261$294.5K<0.1%–
Fidelity Covington Trust316092709MSCI INDL INDX5,548$293.4K<0.1%–
STLDSteel Dynamics IncCOM2,547$288.1K<0.1%History
Flexshares Tr33939L506IBOXX 3R TARGT11,904$287.7K<0.1%–
BHPBHP Group LtdADR4,529$287.2K<0.1%History
U.S. Global Jets ETF26922A842ETF15,350$286.0K<0.1%–
Innovator ETFs Trust45782C516EMRGNG MKT JAN10,077$284.1K<0.1%–
TWNKHostess Brands, Inc.CL A11,280$280.6K<0.1%History
PIMCO Active Bond Exchange-Traded Fund72201R775ETF2,975$276.0K<0.1%–
ASHAshland Inc.COM2,605$267.6K<0.1%History
ETREntergy CorpCOM2,443$263.3K<0.1%History
SPDR Index Shs FDS78463X756ST MARKE CAP ETF5,196$263.2K<0.1%–
iShares Core MSCI Europe ETF46434V738ETF5,006$262.3K<0.1%–
UGIUgi CorpStock7,507$261.0K<0.1%History
NBBNuveen Taxable Municipal Income FundCOM16,100$259.5K<0.1%History
ALLEAllegion plcORD SHS2,418$258.1K<0.1%History
iShares Inc464286533MSCI EMERG MRKT4,720$257.6K<0.1%–
ABBNYABB LtdSPONSORED ADR7,492$257.0K<0.1%History
XIFRXPLR Infrastructure, LPCOM UNIT PART IN4,160$252.7K<0.1%History
CCChemours CoStock8,439$252.7K<0.1%History
iShares Tr464288521CRE U S REIT ETF4,974$250.7K<0.1%–
SNYSanofiSPONSORED ADR4,575$249.0K<0.1%History
PIMCO ETF Tr72201R817INV GRD CRP BD2,584$248.6K<0.1%–