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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
New Gold Inc Cda644535106COM186,710$201.6K<0.1%+186,710New–
Defiance Quantum ETF26922A420ETF3,994$202.1K<0.1%+3,994New–
Flexshares Tr33939L100MORNSTAR USMKT1,200$202.4K<0.1%−524−30.4%Reduced–
STMSTMicroelectronics N.V.NY REGISTRY4,063$203.2K<0.1%−258−6.0%ReducedHistory
SASeabridge Gold IncCOM16,860$203.2K<0.1%+16,860NewHistory
NTGTortoise Midstream Energy Fund, Inc.COM5,898$204.2K<0.1%+5,898NewHistory
EVGEaton Vance Short Duration Diversified Income FundCOM20,829$204.3K<0.1%−2,713−11.5%ReducedHistory
CQPCheniere Energy Partners, L.P.COM UNIT4,461$205.9K<0.1%+139+3.2%AddedHistory
ICEIntercontinental Exchange, Inc.Stock1,821$206.0K<0.1%−584−24.3%ReducedHistory
PCTPureCycle Technologies, Inc.COM19,282$206.1K<0.1%−2,411−11.1%ReducedHistory
First Tr Exchange-Traded FD33734X168MATERIALS ALPH3,219$206.7K<0.1%−94,769−96.7%Reduced–
TERTeradyne, IncStock1,864$207.5K<0.1%−176−8.6%ReducedHistory
PNWPinnacle West Capital CorpCOM2,548$207.6K<0.1%+2,548NewHistory
BAXBaxter International IncStock4,569$208.2K<0.1%−843−15.6%ReducedHistory
PFGPrincipal Financial Group IncCOM2,744$208.2K<0.1%−286−9.4%ReducedHistory
HCAHCA Healthcare, Inc.COM687$208.5K<0.1%+687NewHistory
WBSWebster Financial CorpCOM5,525$208.6K<0.1%−54−1.0%ReducedHistory
PEverpure, Inc.CL A5,664$208.6K<0.1%+5,664NewHistory
MPMP Materials Corp.COM CL A9,122$208.7K<0.1%+9,122NewHistory
CMCCommercial Metals CoStock3,965$208.8K<0.1%−972−19.7%ReducedHistory
ZIMZIM Integrated Shipping Services Ltd.SHS16,869$209.0K<0.1%−2,494−12.9%ReducedHistory
BABAAlibaba Group Holding LtdADR2,510$209.2K<0.1%−1,836−42.2%ReducedHistory
iShares Tr464289859CORE 80 20 ETF3,173$210.5K<0.1%+3,173New–
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM25,632$210.7K<0.1%+343+1.4%AddedHistory
FSLRFirst Solar, Inc.Stock1,109$210.8K<0.1%−16−1.4%ReducedHistory
DRIDarden Restaurants IncCOM1,262$210.9K<0.1%−103−7.5%ReducedHistory
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF1,912$211.2K<0.1%+1,912New–
Fidelity Covington Trust316092345BLUE CHIP VALUE7,611$212.3K<0.1%−1,326−14.8%Reduced–
BMOBank of MontrealCOM2,359$213.1K<0.1%−451−16.0%ReducedHistory
Fidelity Covington Trust316092337FIDELITY FUND LR12,732$214.3K<0.1%+740+6.2%Added–
Ea Series Trust02072L698STRIVE EMERGING8,130$214.3K<0.1%+8,130New–
NTRNutrien Ltd.COM3,643$215.2K<0.1%−8,819−70.8%ReducedHistory
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG11,100$216.3K<0.1%+11,100New–
TAPMolson Coors Beverage CoCL B3,287$216.5K<0.1%−979−22.9%ReducedHistory
Alps ETF Tr00162Q858SECTR DIV DOGS4,344$217.1K<0.1%−10,226−70.2%Reduced–
ABRArbor Realty Trust IncCOM14,690$217.7K<0.1%−643−4.2%ReducedHistory
JFRNuveen Floating Rate Income FundCOM27,737$218.9K<0.1%+130+0.5%AddedHistory
PCARPaccar IncCOM2,622$219.3K<0.1%+2,622NewHistory
iShares Inc46434G855MSCI GBL GOLD MN9,456$220.3K<0.1%−2,925−23.6%Reduced–
Invesco Exchange Traded FD T46137V621FINL PFD ETF15,454$221.8K<0.1%−10,145−39.6%Reduced–
Bondbloxx ETF Trust09789C853BLOOMBERG TWO YR4,516$221.8K<0.1%+4,516New–
SLVMSylvamo CorpCOMMON STOCK5,507$222.8K<0.1%−162−2.9%ReducedHistory
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM10,120$223.0K<0.1%+1,020+11.2%AddedHistory
DKSDick's Sporting Goods, Inc.Stock1,692$223.7K<0.1%−1,555−47.9%ReducedHistory
iShares U.S. Healthcare Providers ETF464288828ETF877$224.5K<0.1%−362−29.2%Reduced–
ARK Next Generation Technology ETF00214Q401ETF3,834$224.7K<0.1%−1,612−29.6%Reduced–
ETF Managers Tr26924G102PRIME JUNIR SLVR24,003$225.2K<0.1%+945+4.1%Added–
iShares Ibonds Dec 2026 Term Muni Bond ETF46435U259ETF8,948$225.3K<0.1%+8,948New–
IMVTImmunovant, Inc.COM11,900$225.7K<0.1%−39,900−77.0%ReducedHistory
DBLDoubleLine Opportunistic Credit FundCOM15,643$227.0K<0.1%+37+0.2%AddedHistory
NTRSNorthern Trust CorpCOM3,068$227.5K<0.1%−140−4.4%ReducedHistory
KGCKinross Gold CorpCOM47,980$228.9K<0.1%+47,980NewHistory
TTETotalEnergies SESPONSORED ADS3,973$229.0K<0.1%−3,293−45.3%ReducedHistory
State Street SPDR S&P Regional Banking ETF78464A698ETF5,615$229.3K<0.1%−37,129−86.9%Reduced–
REYNReynolds Consumer Products Inc.COM8,123$229.5K<0.1%−623−7.1%ReducedHistory
SNOWSnowflake Inc.Stock1,307$230.0K<0.1%+1,307NewHistory
DOCUDocuSign, Inc.Stock4,504$230.1K<0.1%−4−0.1%ReducedHistory
KDPKeurig Dr Pepper Inc.COM7,364$230.3K<0.1%−266−3.5%ReducedHistory
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF4,820$230.3K<0.1%+4,820New–
DYDycom Industries IncCOM2,030$230.7K<0.1%−320−13.6%ReducedHistory
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF3,741$230.8K<0.1%−9,119−70.9%Reduced–
Vanguard Financials ETF92204A405ETF2,844$231.1K<0.1%−2,819−49.8%Reduced–
AALAmerican Airlines Group Inc.Stock12,923$231.9K<0.1%−6,253−32.6%ReducedHistory
iShares Ibonds Dec 2026 Term Corporate ETF46435GAA0ETF9,903$232.4K<0.1%+384+4.0%Added–
AMPAmeriprise Financial IncCOM701$232.9K<0.1%+38+5.7%AddedHistory
CNCCentene CorpStock3,475$234.4K<0.1%−531−13.3%ReducedHistory
ATOMAtomera IncCOM26,750$234.6K<0.1%+5,075+23.4%AddedHistory
Invesco Exch Traded FD Tr II46138E537NATL AMT MUNI9,951$234.8K<0.1%−6,947−41.1%Reduced–
iShares Tr46434V381FUTU EXPO TE ETF4,236$235.5K<0.1%−15,357−78.4%Reduced–
ALLYAlly Financial Inc.Stock8,722$235.6K<0.1%+130+1.5%AddedHistory
RBB FD Inc74933W478US TREASRY 12 MT4,721$235.7K<0.1%+4,721New–
SPDR Series Trust78468R861STATE STRET SPDR12,794$236.2K<0.1%−170−1.3%Reduced–
SSRMSSR Mining Inc.Stock16,686$236.6K<0.1%+16,686NewHistory
Global X FDS37954Y848GLOBAL X SILVER9,110$236.8K<0.1%+490+5.7%Added–
BUDAnheuser-Busch InBev SA/NVADR4,185$237.4K<0.1%−2,559−37.9%ReducedHistory
METMetlife IncStock4,225$238.9K<0.1%−14,547−77.5%ReducedHistory
Mag Silver Corp55903Q104COM21,581$240.4K<0.1%+21,581New–
OKTAOkta, Inc.CL A3,467$240.4K<0.1%+3,467NewHistory
iShares Tr464288703MRNING SM CP ETF4,452$240.5K<0.1%−1,612−26.6%Reduced–
Dimensional U.S. Core Equity 2 ETF25434V708ETF8,899$241.6K<0.1%+10.0%Added–
ASMLASML Holding NVADR333$242.0K<0.1%−27−7.5%ReducedHistory
NMAINuveen Multi-Asset Income FundCOM20,752$242.0K<0.1%+1,177+6.0%AddedHistory
ICLRIcon PLCCOM969$242.5K<0.1%00.0%UnchangedHistory
PAASPan American Silver CorpStock16,650$242.8K<0.1%−45,942−73.4%ReducedHistory
Fidelity Merrimack STR Tr316188101CORP BOND ETF5,348$244.5K<0.1%+5,348New–
VTRSViatris IncStock24,513$244.6K<0.1%−3,560−12.7%ReducedHistory
ARMKAramarkCOM5,684$244.7K<0.1%−38−0.7%ReducedHistory
Schwab U.S. Large-Cap Value ETF808524409ETF3,655$245.2K<0.1%−16,015−81.4%Reduced–
EIXEdison InternationalStock3,532$245.3K<0.1%−219−5.8%ReducedHistory
JPMorgan Chase & Co46625H365ALERIAN ML ETN10,746$246.2K<0.1%00.0%Unchanged–
UALUnited Airlines Holdings, Inc.COM4,519$248.0K<0.1%−977−17.8%ReducedHistory
RIOTRiot Platforms, Inc.COM21,061$249.0K<0.1%−505−2.3%ReducedHistory
OVVOvintiv Inc.COM6,540$249.0K<0.1%−252−3.7%ReducedHistory
SYBTStock Yards Bancorp, Inc.COM5,505$249.8K<0.1%+92+1.7%AddedHistory
First Tr Exchange Traded FD33741L108DORSY WR MOMNT9,479$250.2K<0.1%−1,200−11.2%Reduced–
MSCIMSCI Inc.Stock534$251.0K<0.1%−627−54.0%ReducedHistory
PSAPublic StorageCOM864$252.4K<0.1%−311−26.5%ReducedHistory
TRTNTriton International LtdCL A3,050$253.9K<0.1%−1,031−25.3%ReducedHistory
Global X FDS37954Y632ARTIFICIAL ETF9,117$254.9K<0.1%+9,117New–
DOXAmdocs LtdSHS2,581$255.1K<0.1%00.0%UnchangedHistory

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%–