Sigma Planning Corp

SEC CIK: 0001449126
Latest filing: Aug 7, 2026

SEC filings (opens in a new tab)

Holdings in Q2 2023

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

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
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
Invesco S&P 500 Equal Weight Technology ETF46137V282	ETF	870	$256.1K	<0.1%	−899−50.8%	Reduced	–
First Tr Exchng Traded FD VI33740U844	FT VEST U.S	7,729	$258.5K	<0.1%	+7,729	New	–
EXPDExpeditors International of Washington Inc	COM	2,137	$258.9K	<0.1%	−288−11.9%	Reduced	History
WNCWabash National Corp	COM	10,100	$259.0K	<0.1%	00.0%	Unchanged	History
CRCrane Co	COMMON STOCK	2,914	$259.7K	<0.1%	+2,914	New	History
PHParker-Hannifin Corp	Stock	669	$261.1K	<0.1%	+27+4.2%	Added	History
PBR.APetrobras - Petroleo Brasileiro SA	SP ADR NON VTG	21,183	$262.0K	<0.1%	−700−3.2%	Reduced	History
DOCNDigitalOcean Holdings, Inc.	COM	6,539	$262.5K	<0.1%	−12,159−65.0%	Reduced	History
NGGNational Grid PLC	SPONSORED ADR NE	3,907	$263.1K	<0.1%	−394−9.2%	Reduced	History
BNYBank of New York Mellon Corp	Stock	5,918	$263.5K	<0.1%	−12,997−68.7%	Reduced	History
iShares 1-10 Year U.S. Aggregate Bond ETF464288596	ETF	2,539	$264.1K	<0.1%	+21+0.8%	Added	–
First Tr Exchng Traded FD VI33740F474	FT VEST US EQT	8,431	$265.2K	<0.1%	+8,431	New	–
SPHSuburban Propane Partners LP	UNIT LTD PARTN	17,993	$266.3K	<0.1%	−816−4.3%	Reduced	History
Dimensional ETF Trust25434V401	US EQUI MARK ETF	5,534	$266.5K	<0.1%	−111−2.0%	Reduced	–
CDNSCadence Design Systems Inc	Stock	1,145	$268.7K	<0.1%	−258−18.4%	Reduced	History
LTCLTC Properties Inc	REIT	8,143	$268.9K	<0.1%	+1,238+17.9%	Added	History
Cambria ETF Tr132061300	CAMBRIA FGN SHR	11,213	$269.2K	<0.1%	+141+1.3%	Added	–
iShares Tr46435U432	IBONDS DEC 25	10,282	$270.8K	<0.1%	+10,282	New	–
ENPHEnphase Energy, Inc.	Stock	1,617	$270.8K	<0.1%	−645−28.5%	Reduced	History
iShares Tr464287838	U.S. BAS MTL ETF	2,037	$271.0K	<0.1%	+2,037	New	–
Innovator ETFs Trust45782C664	US EQTY BUF SEP	7,872	$271.2K	<0.1%	−4,521−36.5%	Reduced	–
JRONuveen Floating Rate Income Opportunity Fund	COM SHS	34,931	$272.5K	<0.1%	+509+1.5%	Added	History
Fidelity Covington Trust316092352	BLUE CHIP GRWTH	9,172	$272.9K	<0.1%	+1,120+13.9%	Added	–
Pacer Trendpilot US Mid Cap ETF69374H204	ETF	8,300	$273.4K	<0.1%	−3,018−26.7%	Reduced	–
PINSPinterest, Inc.	CL A	10,087	$275.8K	<0.1%	−3,880−27.8%	Reduced	History
iShares Tr46435G318	IBONDS DEC2023	10,831	$276.1K	<0.1%	+10,831	New	–
iShares Tr46435U697	IBONDS DEC	10,747	$276.8K	<0.1%	+10,747	New	–
AGFirst Majestic Silver Corp	COM	49,015	$276.9K	<0.1%	+37,705+333.4%	Added	History
CHTRCharter Communications, Inc.	CL A	753	$277.0K	<0.1%	−52−6.5%	Reduced	History
iShares Tr464287192	US TRSPRTION	1,110	$277.4K	<0.1%	−49−4.2%	Reduced	–
SVCService Properties Trust	COM SH BEN INT	32,008	$278.1K	<0.1%	00.0%	Unchanged	History
American Centy ETF Tr025072406	QUALITY DIVRSFED	6,298	$278.2K	<0.1%	+6,298	New	–
State Street SPDR S&P 400 Mid Cap Value ETF78464A839	ETF	4,059	$279.2K	<0.1%	−2,155−34.7%	Reduced	–
EMNEastman Chemical Co	Stock	3,338	$279.5K	<0.1%	−2,028−37.8%	Reduced	History
MMDNYLI MacKay DefinedTerm Muni Opportunities Fund	COM	16,400	$280.0K	<0.1%	+16,400	New	History
GIBCgi Inc	CL A	2,669	$281.4K	<0.1%	00.0%	Unchanged	History
Invesco Exchange Traded FD T46137V332	S&P500 EQL HLT	946	$282.1K	<0.1%	+946	New	–
BCXBlackRock Resources & Commodities Strategy Trust	SHS	31,125	$282.3K	<0.1%	−2,035−6.1%	Reduced	History
COFCapital One Financial Corp	Stock	2,595	$283.8K	<0.1%	−118−4.3%	Reduced	History
RCLRoyal Caribbean Cruises Ltd	COM	2,741	$284.4K	<0.1%	−2,998−52.2%	Reduced	History
Invesco Exchange Traded FD T46137V563	HIG YLD EQ DIV	14,804	$284.5K	<0.1%	−38,780−72.4%	Reduced	–
First Tr Exchange-Traded FD33735T109	COMMON SHS	25,140	$285.3K	<0.1%	−227−0.9%	Reduced	–
RBLXRoblox Corp	Stock	7,084	$285.5K	<0.1%	−1,349−16.0%	Reduced	History
WELLWelltower Inc.	REIT	3,530	$285.6K	<0.1%	−1,090−23.6%	Reduced	History
GEHCGE HealthCare Technologies Inc.	Stock	3,524	$286.3K	<0.1%	−555−13.6%	Reduced	History
DFSDiscover Financial Services	COM	2,453	$286.7K	<0.1%	−2,618−51.6%	Reduced	History
NEMNEWMONT Corp	Stock	6,743	$287.7K	<0.1%	+228+3.5%	Added	History
Invesco Exch Traded FD Tr II46138E842	DORSEY WRGT SMLC	3,657	$287.9K	<0.1%	+3,657	New	–
SYNASYNAPTICS Inc	Stock	3,374	$288.1K	<0.1%	−4−0.1%	Reduced	History
AEMAgnico Eagle Mines Ltd	Stock	5,783	$289.1K	<0.1%	+5,783	New	History
MIDDMIDDLEBY Corp	COM	1,957	$289.3K	<0.1%	−5−0.3%	Reduced	History
RGRSturm Ruger & Co Inc	Stock	5,467	$289.6K	<0.1%	−31−0.6%	Reduced	History
TDOCTeladoc Health, Inc.	COM	11,446	$289.8K	<0.1%	+766+7.2%	Added	History
MTBM&T Bank Corp	COM	2,347	$290.5K	<0.1%	+2,347	New	History
Innovator ETFs Trust45782C391	US EQTY BUFR MAR	7,840	$291.0K	<0.1%	−5,260−40.2%	Reduced	–
iShares Tr46435G243	ESG AWRE 1 5 YR	12,199	$291.7K	<0.1%	+1,444+13.4%	Added	–
Vanguard Mortgage-Backed Securities ETF92206C771	ETF	6,345	$291.8K	<0.1%	+1,849+41.1%	Added	–
BGBunge Global SA	COM	3,106	$293.1K	<0.1%	−1,321−29.8%	Reduced	History
PIMCO ETF Tr72201R783	0-5 HIGH YIELD	3,220	$293.6K	<0.1%	−447−12.2%	Reduced	–
RTLNecessity Retail REIT, Inc.	COM CLASS A	43,459	$293.8K	<0.1%	−3,750−7.9%	Reduced	History
GGNGAMCO Global Gold, Natural Resources & Income Trust	COM SH BEN INT	78,712	$294.4K	<0.1%	−2,226−2.8%	Reduced	History
OLNOLIN Corp	Stock	5,759	$296.0K	<0.1%	−304−5.0%	Reduced	History
CHDNChurchill Downs Inc	COM	2,134	$297.0K	<0.1%	+150+7.6%	AddedConverted for a 2-for-1 split	History
CIKCredit Suisse Asset Management Income Fund, Inc.	COM	101,121	$297.3K	<0.1%	−14,864−12.8%	Reduced	History
iShares Tr46436E569	ESG SELECT SCRE	8,808	$297.8K	<0.1%	−708−7.4%	Reduced	–
iShares Tr464288851	US OIL GS EX ETF	3,508	$298.0K	<0.1%	−562−13.8%	Reduced	–
SNVSynovus Financial Corp	COM NEW	9,920	$300.1K	<0.1%	−328−3.2%	Reduced	History
EFCEllington Financial Inc.	COM	21,775	$300.5K	<0.1%	−677−3.0%	Reduced	History
PBIPitney Bowes Inc	COM	85,069	$301.1K	<0.1%	+3,110+3.8%	Added	History
IPInternational Paper Co	COM	9,485	$301.7K	<0.1%	+341+3.7%	Added	History
Invesco Exchange Traded FD T46137V746	LARG CAP GRO ETF	4,299	$303.6K	<0.1%	−942−18.0%	Reduced	–
First Tr Exchange-Traded FD33739G103	MNGD FUTRS STRGY	6,358	$304.0K	<0.1%	−16,256−71.9%	Reduced	–
OMCOmnicom Group Inc.	COM	3,206	$305.1K	<0.1%	−1,661−34.1%	Reduced	History
DSLDoubleLine Income Solutions Fund	COM	25,754	$306.7K	<0.1%	−289−1.1%	Reduced	History
KSSKOHLS Corp	Stock	13,312	$306.9K	<0.1%	+13,312	New	History
RPMRPM International Inc	COM	3,429	$307.7K	<0.1%	−2,001−36.9%	Reduced	History
ATVIActivision Blizzard, Inc.	COM	3,662	$308.7K	<0.1%	−3,992−52.2%	Reduced	History
PAYCPaycom Software, Inc.	Stock	966	$310.3K	<0.1%	+4+0.4%	Added	History
First Tr Exchange-Traded FD33737A108	NASDQ CLN EDGE	2,955	$310.7K	<0.1%	−806−21.4%	Reduced	–
HIIHuntington Ingalls Industries, Inc.	COM	1,367	$311.3K	<0.1%	−12−0.9%	Reduced	History
AGNCAGNC Investment Corp.	REIT	30,732	$311.3K	<0.1%	−591−1.9%	Reduced	History
DINDine Brands Global, Inc.	COM	5,385	$312.5K	<0.1%	00.0%	Unchanged	History
VISTVista Energy, S.A.B. de C.V.	SPONSORED ADS	12,960	$312.6K	<0.1%	+1,810+16.2%	Added	History
GLWCorning Inc	COM	8,968	$314.2K	<0.1%	−12,945−59.1%	Reduced	History
JHGJanus Henderson Group Ltd.	ORD SHS	11,543	$314.6K	<0.1%	−329−2.8%	Reduced	History
TFCTruist Financial Corp	COM	10,390	$315.3K	<0.1%	+1,212+13.2%	Added	History
DDOGDatadog, Inc.	CL A COM	3,236	$318.4K	<0.1%	−300−8.5%	Reduced	History
Invesco Exch Traded FD Tr II46138G706	SOLAR ETF	4,462	$318.7K	<0.1%	−687−13.3%	Reduced	–
Innovator ETFs Trust45782C409	US EQTY BUFR JAN	8,463	$319.2K	<0.1%	−2,944−25.8%	Reduced	–
PAXSPIMCO Access Income Fund	SHS BENFIN INT	21,670	$319.6K	<0.1%	+1,100+5.3%	Added	History
iShares Global Clean Energy ETF464288224	ETF	17,506	$322.1K	<0.1%	−6,084−25.8%	Reduced	–
Dimensional ETF Trust25434V815	US SMALL CAP ETF	12,551	$322.6K	<0.1%	+2,097+20.1%	Added	–
American Centy ETF Tr025072307	US QUALITY GROW	4,677	$323.3K	<0.1%	+4,677	New	–
NEANuveen AMT-Free Quality Municipal Income Fund	COM	29,631	$323.9K	<0.1%	−4,702−13.7%	Reduced	History
iShares Inc464286475	EM MKT SM-CP ETF	6,054	$324.4K	<0.1%	+573+10.5%	Added	–
First Tr Exchange Trad FD VI33740Y101	ALT ABSLT STRG	11,604	$326.8K	<0.1%	−24,855−68.2%	Reduced	–
REGNRegeneron Pharmaceuticals, Inc.	COM	455	$326.9K	<0.1%	−32−6.6%	Reduced	History
LNTAlliant Energy Corp	Stock	6,231	$327.0K	<0.1%	−1,086−14.8%	Reduced	History
iShares Tr464288208	MRGSTR MD CP ETF	5,172	$327.3K	<0.1%	−3,798−42.3%	Reduced	–
FLNGFlex LNG Ltd.	SHS	10,732	$327.7K	<0.1%	−7,458−41.0%	Reduced	History

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
Security	Class	Puts	Calls
SPYSPDR S&P 500 ETF Trust	ETF	$5.81K	–
AAPAdvance Auto Parts Inc	COM	–	$2.81K
ProShares Tr74347X831	ULTRAPRO 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
Security	Class	Shares in Q1 2023	Value in Q1 2023	% of portfolio in Q1 2023	History
Invesco Exchange Traded FD T46137V258	S&P500 PUR VAL	35,256	$2.68M	0.1%	–
First Tr Exchange-Traded FD33734X150	INDLS PROD DUR	42,576	$2.37M	0.1%	–
PRVBProvention Bio, Inc.	COM	92,500	$2.23M	0.1%	History
Victory Portfolios II92647N824	VCSHS US EQ INCM	33,167	$2.01M	0.1%	–
First Tr Exchange Traded FD33738R860	NASDAQ BK ETF	81,003	$1.72M	0.1%	–
BROSDutch Bros Inc.	CL A	45,677	$1.44M	<0.1%	History
First Tr Exchng Traded FD VI33740U208	FT VEST US EQT	38,442	$1.39M	<0.1%	–
MBLYMobileye Global Inc.	Stock	27,250	$1.18M	<0.1%	History
iShares Tr46435G672	CORE INTL AGGR	23,490	$1.15M	<0.1%	–
First Tr Exch Traded FD III33740J203	EQUITY MARKET NE	53,383	$1.07M	<0.1%	–
NTAPNetApp, Inc.	Stock	15,892	$1.01M	<0.1%	History
ETF Ser Solutions26922A222	APTUS COLLRD INV	31,729	$957.9K	<0.1%	–
ETF Ser Solutions26922A388	APTUS DEFINED	36,251	$941.4K	<0.1%	–
APTOAptose Biosciences Inc.	COM NEW	1,444,550	$924.5K	<0.1%	History
PVHPVH Corp.	COM	10,073	$898.2K	<0.1%	History
PIIPolaris Inc.	Stock	8,064	$892.2K	<0.1%	History
DBBInvesco DB Base Metals Fund	BASE METALS FD	41,811	$844.6K	<0.1%	History
VanEck ETF Trust92189F452	MORTGAGE REIT	74,509	$842.0K	<0.1%	–
Nushares ETF Tr67092P201	NUVEEN ESG LRGCP	14,533	$810.1K	<0.1%	–
ETF Ser Solutions26922A784	APTUS DRAWDOWN	23,161	$801.4K	<0.1%	–
LYBLyondellBasell Industries N.V.	SHS - A -	8,109	$761.4K	<0.1%	History
EQXEquinox Gold Corp.	COM	146,052	$752.2K	<0.1%	History
BTGB2GOLD Corp	COM	189,739	$747.6K	<0.1%	History
EXKEndeavour Silver Corp	COM	188,873	$732.8K	<0.1%	History
Invesco Exch Traded FD Tr II46138E628	KBW BK ETF	17,334	$727.5K	<0.1%	–
GFIGold Fields Ltd	SPONSORED ADR	54,274	$722.9K	<0.1%	History
ADSKAutodesk, Inc.	COM	3,465	$721.3K	<0.1%	History
WRBBerkley W R Corp	COM	11,194	$697.0K	<0.1%	History
First Tr Exch TRD Alphdx FD33737J117	EUROPE ALPHADEX	19,645	$682.8K	<0.1%	–
Flexshares Tr33939L845	QLT DIV DEF IDX	12,847	$680.1K	<0.1%	–
FISVFiserv Inc	Stock	5,928	$670.1K	<0.1%	History
Exchange Listed FDS Tr30151E814	HIGH YIELD ETF	24,358	$642.2K	<0.1%	–
Global X FDS37960A651	SUPERDVDND REIT	28,490	$620.2K	<0.1%	–
Flexshares Tr33939L670	CRE SLCT BD FD	26,895	$606.2K	<0.1%	–
WisdomTree Tr97717W208	US HIGH DIVIDEND	6,723	$553.1K	<0.1%	–
IBKRInteractive Brokers Group, Inc.	Stock	6,581	$543.3K	<0.1%	History
First Tr Exch TRD Alphdx FD33737J182	EMERG MKT ALPH	24,862	$527.1K	<0.1%	–
WisdomTree Tr97717W786	INTL DIV EX FINL	13,513	$525.1K	<0.1%	–
GLBEGlobal-E Online Ltd.	SHS	15,721	$506.7K	<0.1%	History
First Tr Exchange-Traded FD33738D879	FT VEST RIS	23,013	$494.1K	<0.1%	–
Invesco Exchange Traded FD T46137V274	S&P500 EQL UTL	4,306	$488.4K	<0.1%	–
Invesco Exchange Traded FD T46137V738	LARGE CAP VALUE	10,761	$487.3K	<0.1%	–
IVZInvesco Ltd.	Stock	29,601	$485.5K	<0.1%	History
PEGPublic Service Enterprise Group Inc	COM	7,571	$472.8K	<0.1%	History
J P Morgan Exchange Traded F46641Q654	ULTRA SHT MUNCPL	9,264	$470.6K	<0.1%	–
MPLXMPLX LP	COM UNIT REP LTD	13,640	$469.9K	<0.1%	History
SPDR Series Trust78464A581	ST STR SP HCEQ	4,925	$461.1K	<0.1%	–
PLAYDave & Buster's Entertainment, Inc.	COM	12,489	$459.5K	<0.1%	History
BIGGQFormer BL Stores Inc	COM	40,845	$447.7K	<0.1%	History
CALYCallaway Golf Co	COM	20,248	$437.8K	<0.1%	History
First Tr Exchng Traded FD VI33740F540	SKYB CRY IND ETF	88,016	$434.5K	<0.1%	–
SPDR Series Trust78464A755	ST STR SP METAL	8,100	$430.6K	<0.1%	–
AIGAmerican International Group, Inc.	Stock	8,184	$412.2K	<0.1%	History
First Tr Exchng Traded FD VI33740F847	FT VEST US EQT	10,705	$402.5K	<0.1%	–
ETF Ser Solutions26922A446	OPUS SML CP VL	12,612	$392.8K	<0.1%	–
ZSZscaler, Inc.	Stock	3,354	$391.8K	<0.1%	History
MCMoelis & Co	CL A	10,045	$386.2K	<0.1%	History
Invesco Exch Traded FD Tr II46138E669	GLOBAL EX US HGH	19,936	$383.4K	<0.1%	–
CHYCalamos Convertible & High Income Fund	COM SHS	34,563	$377.4K	<0.1%	History
Innovator ETFs Trust45783Y814	LADERD ALCTN PWR	10,263	$368.7K	<0.1%	–
Invesco Exch Traded FD Tr II46138E370	S&P 500 HB ETF	5,008	$350.4K	<0.1%	–
State Street SPDR S&P Aerospace & Defense ETF78464A631	ETF	2,949	$344.8K	<0.1%	–
SPDR Ser Tr78464A813	S&P 600 SML CAP	4,098	$344.4K	<0.1%	–
Innovator U.S. Equity Ultra Buffer ETF - January45782C300	ETF	10,961	$340.8K	<0.1%	–
ETF Ser Solutions26922A289	DEFIANCE CONNECT	10,216	$335.0K	<0.1%	–
PDPagerDuty, Inc.	COM	9,527	$333.3K	<0.1%	History
First Tr Exchange Traded FD33738R878	DORSEY WRIGHT	9,945	$328.0K	<0.1%	–
iShares Inc46434G764	MSCI EMRG CHN	6,624	$326.8K	<0.1%	–
Innovator ETFs Trust45782C680	US EQTY PWR BF	11,036	$325.6K	<0.1%	–
WYNNWynn Resorts Ltd	COM	2,903	$324.9K	<0.1%	History
CXTCrane NXT, Co.	COM	2,849	$323.4K	<0.1%	History
BHKBlackRock Core Bond Trust	SHS BEN INT	29,809	$323.1K	<0.1%	History
Global X FDS37954Y814	FINTECH ETF	15,221	$316.9K	<0.1%	–
Innovator ETFs Trust45782C466	GRWT100 PWR BF	8,261	$313.2K	<0.1%	–
Invesco Exchange Traded FD T46137V266	S&P500 PUR GWT	2,053	$310.4K	<0.1%	–
iShares Tr464288505	MRGSTR SM CP ETF	6,380	$302.4K	<0.1%	–
iShares Tr46435G102	CONV BD ETF	4,135	$300.3K	<0.1%	–
Innovator ETFs Trust45782C573	US EQTY PWR BUF	9,261	$294.5K	<0.1%	–
Fidelity Covington Trust316092709	MSCI INDL INDX	5,548	$293.4K	<0.1%	–
STLDSteel Dynamics Inc	COM	2,547	$288.1K	<0.1%	History
Flexshares Tr33939L506	IBOXX 3R TARGT	11,904	$287.7K	<0.1%	–
BHPBHP Group Ltd	ADR	4,529	$287.2K	<0.1%	History
U.S. Global Jets ETF26922A842	ETF	15,350	$286.0K	<0.1%	–
Innovator ETFs Trust45782C516	EMRGNG MKT JAN	10,077	$284.1K	<0.1%	–
TWNKHostess Brands, Inc.	CL A	11,280	$280.6K	<0.1%	History
PIMCO Active Bond Exchange-Traded Fund72201R775	ETF	2,975	$276.0K	<0.1%	–
ASHAshland Inc.	COM	2,605	$267.6K	<0.1%	History
ETREntergy Corp	COM	2,443	$263.3K	<0.1%	History
SPDR Index Shs FDS78463X756	ST MARKE CAP ETF	5,196	$263.2K	<0.1%	–
iShares Core MSCI Europe ETF46434V738	ETF	5,006	$262.3K	<0.1%	–
UGIUgi Corp	Stock	7,507	$261.0K	<0.1%	History
NBBNuveen Taxable Municipal Income Fund	COM	16,100	$259.5K	<0.1%	History
ALLEAllegion plc	ORD SHS	2,418	$258.1K	<0.1%	History
iShares Inc464286533	MSCI EMERG MRKT	4,720	$257.6K	<0.1%	–
ABBNYABB Ltd	SPONSORED ADR	7,492	$257.0K	<0.1%	History
XIFRXPLR Infrastructure, LP	COM UNIT PART IN	4,160	$252.7K	<0.1%	History
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PIMCO ETF Tr72201R817	INV GRD CRP BD	2,584	$248.6K	<0.1%	–