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Livermore
Livermore
ZHEN

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
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20215,115$663<0.1%00.0%UnchangedHistory
HLGNHeliogen, Inc.COMMON STOCK11,433$2.80K<0.1%00.0%UnchangedHistory
Pieris Pharmaceuticals Inc720795103COM26,100$4.32K<0.1%−324,384−92.6%Reduced–
CGCCanopy Growth CorpCOM12,555$4.87K<0.1%−1,918−13.3%ReducedHistory
APPHAppHarvest, Inc.COM13,537$5.01K<0.1%00.0%UnchangedHistory
GTBPGT Biopharma, Inc.COM NEW20,395$6.36K<0.1%−2,500−10.9%ReducedHistory
PSHGPerformance Shipping Inc.COMMON SHARES10,700$8.46K<0.1%+10,700NewHistory
CLOVClover Health Investments, Corp.COM CL A10,774$9.66K<0.1%00.0%UnchangedHistory
MBRXMoleculin Biotech, Inc.COM17,000$9.84K<0.1%−40,500−70.4%ReducedHistory
AMRSAmyris, Inc.COM NEW11,100$11.4K<0.1%−3,037−21.5%ReducedHistory
SDCSmileDirectClub, Inc.CL A COM26,315$13.9K<0.1%−2,869−9.8%ReducedHistory
Granite PT Mtg Tr Inc38741LAC1NOTE 6.375%10/015,000$14.5K<0.1%00.0%Unchanged–
OGIOrganigram Global Inc.COM37,231$14.5K<0.1%−9,000−19.5%ReducedHistory
ZOMDFZomedica Corp.COM74,501$14.9K<0.1%−7,250−8.9%ReducedHistory
RCATRed Cat Holdings, Inc.Stock13,683$16.3K<0.1%+13,683NewHistory
TLRYTilray Brands, Inc.COM CL 212,306$19.2K<0.1%−5,568−31.2%ReducedHistory
PLGPlatinum Group Metals LtdCOM18,500$26.3K<0.1%00.0%UnchangedHistory
MNTSMomentus Inc.COM CL A89,775$28.3K<0.1%+7,500+9.1%AddedHistory
STEXStreamex Corp.COM NEW24,000$30.0K<0.1%−5,000−17.2%ReducedHistory
IBRXImmunityBio, Inc.COM11,050$30.7K<0.1%00.0%UnchangedHistory
OPKOpko Health, Inc.COM15,302$33.2K<0.1%+200+1.3%AddedHistory
ANGIAngi Inc.COM CL A NEW10,200$33.7K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM14,929$39.6K<0.1%−4,768−24.2%ReducedHistory
Portage Biotech IncG7185A128COM11,508$40.2K<0.1%00.0%Unchanged–
NKLANikola CorpCOM29,454$40.6K<0.1%−10,675−26.6%ReducedHistory
TUPTupperware Brands CorpCOM51,648$41.3K<0.1%+37,451+263.8%AddedHistory
NSLNuveen Senior Income FundCOM10,365$47.5K<0.1%00.0%UnchangedHistory
EVGNEvogene Ltd.SHS44,944$48.1K<0.1%−1,056−2.3%ReducedHistory
NGLNGL Energy Partners LPCOM UNIT REPST15,004$58.4K<0.1%+15,004NewHistory
LUMNLumen Technologies, Inc.Stock26,328$59.5K<0.1%−2,978−10.2%ReducedHistory
HBIHanesbrands Inc.COM13,742$62.4K<0.1%−41,777−75.2%ReducedHistory
FCELFuelcell Energy IncCOM29,595$63.9K<0.1%−8,155−21.6%ReducedHistory
CDECoeur Mining, Inc.COM NEW23,410$66.5K<0.1%−178,708−88.4%ReducedHistory
RWTRedwood Trust IncCOM10,584$67.4K<0.1%+20+0.2%AddedHistory
JPCNuveen Preferred & Income Opportunities FundCOM10,510$68.1K<0.1%−4,165−28.4%ReducedHistory
BBBLACKBERRY LtdCOM12,326$68.2K<0.1%00.0%UnchangedHistory
TFFPTFF Pharmaceuticals, Inc.COM145,050$68.2K<0.1%−10,141−6.5%ReducedHistory
SIRISirius XM Holdings Inc.COM15,360$69.6K<0.1%−4,425−22.4%ReducedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT17,875$70.1K<0.1%−3,059−14.6%ReducedHistory
EIGREiger BioPharmaceuticals, Inc.COM101,500$71.5K<0.1%−102,850−50.3%ReducedHistory
CFFNCapitol Federal Financial, Inc.COM11,600$71.6K<0.1%+11,600NewHistory
IGRCbre Global Real Estate Income FundCOM13,782$72.1K<0.1%+316+2.3%AddedHistory
Advisorshares Tr00768Y453PURE US CANN ETF14,456$80.1K<0.1%00.0%Unchanged–
ETF Managers Tr26924G508ETFMG ALTR HRVST27,174$81.3K<0.1%−21,309−44.0%Reduced–
BBDCBarings BDC, Inc.COM10,625$83.3K<0.1%+32+0.3%AddedHistory
HLHecla Mining CoCOM16,301$84.0K<0.1%−117,692−87.8%ReducedHistory
UNGUnited States Natural Gas Fund, LPUNIT PAR11,417$84.7K<0.1%−6,396−35.9%ReducedHistory
HNRGHallador Energy CoStock10,000$85.7K<0.1%00.0%UnchangedHistory
VTNRVertex Energy Inc.COM14,350$89.7K<0.1%−50−0.3%ReducedHistory
CIMChimera Investment CorpCOM NEW15,837$91.4K<0.1%−10,214−39.2%ReducedHistory
QSQuantumScape CorpCOM CL A12,769$102.0K<0.1%−2,820−18.1%ReducedHistory
LTRNLantern Pharma Inc.COM18,125$102.2K<0.1%+850+4.9%AddedHistory
TPICQTpi Composites, IncCOM10,060$104.3K<0.1%−130−1.3%ReducedHistory
CHPTChargePoint Holdings, Inc.COM CL A12,063$106.0K<0.1%+966+8.7%AddedHistory
NWLNewell Brands Inc.Stock12,238$106.5K<0.1%−10,149−45.3%ReducedHistory
MTTRMatterport, Inc.COM CL A35,773$112.7K<0.1%+2,891+8.8%AddedHistory
VMOInvesco Municipal Opportunity TrustCOM12,397$117.3K<0.1%−462−3.6%ReducedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM43,962$118.7K<0.1%−2,618−5.6%ReducedHistory
HLNHaleon plcADR14,423$120.9K<0.1%−5,738−28.5%ReducedHistory
EDITEditas Medicine, Inc.COM14,967$123.2K<0.1%+397+2.7%AddedHistory
STEMStem, Inc.CL A21,550$123.3K<0.1%+3,180+17.3%AddedHistory
SERSerina Therapeutics, Inc.COM139,700$124.8K<0.1%+8,500+6.5%AddedHistory
FSCOFS Credit Opportunities Corp.COMMON STOCK26,535$126.0K<0.1%+7,719+41.0%AddedHistory
KYNBKyntra Bio, Inc.COM46,950$126.8K<0.1%+22,015+88.3%AddedHistory
CHSChico's Fas, Inc.COM24,170$129.3K<0.1%00.0%UnchangedHistory
DCGODocGo Inc.COM14,200$133.1K<0.1%00.0%UnchangedHistory
VALEVale S.A.SPONSORED ADS10,348$138.9K<0.1%−56,551−84.5%ReducedHistory
PFNPIMCO Income Strategy Fund IICOM19,328$139.4K<0.1%+19,328NewHistory
EZPWEzcorp IncCL A NON VTG16,713$140.1K<0.1%+1,729+11.5%AddedHistory
CMLSQCumulus Media IncCOM CL A35,205$144.3K<0.1%+8,583+32.2%AddedHistory
MDNAFMedicenna Therapeutics Corp.COM305,300$147.1K<0.1%+3,250+1.1%AddedHistory
ONBOld National BancorpStock10,558$147.2K<0.1%+7+0.1%AddedHistory
SJTSan Juan Basin Royalty TrustUNIT BEN INT19,911$147.9K<0.1%−11,886−37.4%ReducedHistory
FSRFisker Inc.CL A COM STK26,744$150.8K<0.1%−951−3.4%ReducedHistory
CRKComstock Resources IncCOM13,177$152.9K<0.1%−5,040−27.7%ReducedHistory
GNLGlobal Net Lease, Inc.COM NEW15,422$158.5K<0.1%−3,991−20.6%ReducedHistory
BGSB&G Foods, Inc.COM11,802$164.3K<0.1%−3,128−21.0%ReducedHistory
Western Digital Corp958102AP0NOTE 1.500% 2/0174,000$168.7K<0.1%00.0%Unchanged–
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM10,419$169.8K<0.1%+238+2.3%AddedHistory
BLEBlackRock Municipal Income Trust IICOM16,359$170.3K<0.1%+2,041+14.3%AddedHistory
RUMRUM Group Inc.Stock19,191$171.2K<0.1%−497−2.5%ReducedHistory
Golden Ocean Group LtdG39637205SHS NEW22,767$171.9K<0.1%−14−0.1%Reduced–
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$172.3K<0.1%00.0%Unchanged–
GFNew Germany Fund IncCOM19,446$174.6K<0.1%+30+0.2%AddedHistory
LYTSLsi Industries IncCOM13,980$175.6K<0.1%−4,947−26.1%ReducedHistory
SCWO374Water Inc.Common Stock74,193$177.3K<0.1%00.0%UnchangedHistory
PFLTPennantPark Floating Rate Capital Ltd.COM17,187$183.0K<0.1%+1,719+11.1%AddedHistory
EFREaton Vance Senior Floating-Rate TrustCOM15,735$184.9K<0.1%+318+2.1%AddedHistory
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM17,022$188.1K<0.1%+2,214+15.0%AddedHistory
IRTIndependence Realty Trust, Inc.COM10,362$188.8K<0.1%−96−0.9%ReducedHistory
Global X FDS37950E291GLOBX SUPDV US11,401$190.4K<0.1%−2,242−16.4%Reduced–
SOFISoFi Technologies, Inc.Stock22,859$190.7K<0.1%−2,266−9.0%ReducedHistory
TSITCW Strategic Income Fund IncCOM41,658$192.9K<0.1%−5,000−10.7%ReducedHistory
FTITechnipFMC plcCOM11,658$193.8K<0.1%−626−5.1%ReducedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT13,717$195.1K<0.1%+219+1.6%AddedHistory
FRMEFirst Merchants CorpCOM7,101$200.5K<0.1%−3,157−30.8%ReducedHistory
PLUGPlug Power IncStock19,351$201.1K<0.1%+1,776+10.1%AddedHistory
ETF Ser Solutions26922A172NATIONWIDE RSK9,335$201.2K<0.1%−1,550−14.2%Reduced–
Flexshares Tr33939L860QUALT DIVD IDX3,481$201.2K<0.1%+3,481New–
RBB FD Inc74933W486US TREASY 2 YR4,177$201.5K<0.1%+4,177New–

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%–