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
HRHealthcare Realty Trust Inc	CL A COM	17,462	$329.4K	<0.1%	+644+3.8%	Added	History
Vanguard Industrials ETF92204A603	ETF	1,606	$330.3K	<0.1%	−23−1.4%	Reduced	–
Innovator U.S. Equity Power Buffer ETF - September45782C656	ETF	10,172	$332.7K	<0.1%	−12,392−54.9%	Reduced	–
DINOHF Sinclair Corp	COM	7,471	$333.3K	<0.1%	+1,429+23.7%	Added	History
Invesco Exchange Traded FD T46137V548	INTL DIVI ACHI	18,516	$334.2K	<0.1%	+2,114+12.9%	Added	–
Hartford FDS Exchange Traded41653L503	MUN OPORTUNITE	8,789	$334.4K	<0.1%	+417+5.0%	Added	–
CWHCamping World Holdings, Inc.	CL A	11,122	$334.8K	<0.1%	+535+5.1%	Added	History
iShares Tr464287549	EXPND TEC SC ETF	852	$334.9K	<0.1%	−152−15.1%	Reduced	–
TWLOTwilio Inc	CL A	5,273	$335.5K	<0.1%	−1,634−23.7%	Reduced	History
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788	ETF	9,062	$336.0K	<0.1%	+2,545+39.1%	Added	–
WBDWarner Bros. Discovery, Inc.	Stock	26,819	$336.3K	<0.1%	−7,535−21.9%	Reduced	History
FNVFranco Nevada Corp	Stock	2,361	$336.7K	<0.1%	+2,361	New	History
Invesco Exch Traded FD Tr II46138E198	S&P MIDCP LOW	6,515	$337.2K	<0.1%	−1,712−20.8%	Reduced	–
STXSeagate Technology Holdings plc	ORD SHS	5,458	$337.7K	<0.1%	−130−2.3%	Reduced	History
BRBroadridge Financial Solutions, Inc.	Stock	2,038	$337.7K	<0.1%	−598−22.7%	Reduced	History
Paramount Global92556H206	CL B	21,233	$337.8K	<0.1%	−1,870−8.1%	Reduced	–
iShares Inc46434G863	ESG AWR MSCI EM	10,709	$338.7K	<0.1%	−3,227−23.2%	Reduced	–
WTRGEssential Utilities, Inc.	COM	8,531	$340.5K	<0.1%	−1,329−13.5%	Reduced	History
CPACopa Holdings, S.A.	CL A	3,107	$343.6K	<0.1%	00.0%	Unchanged	History
COINCoinbase Global, Inc.	COM CL A	4,813	$344.4K	<0.1%	−912−15.9%	Reduced	History
WisdomTree Tr97717W505	US MIDCAP DIVID	8,218	$345.6K	<0.1%	−12,964−61.2%	Reduced	–
Invesco Exchange Traded FD T46137V498	S&P SMLCP MOMENT	7,145	$346.5K	<0.1%	+7,145	New	–
FANGDiamondback Energy, Inc.	Stock	2,639	$346.7K	<0.1%	−261−9.0%	Reduced	History
FRPTFreshpet, Inc.	Stock	5,280	$347.5K	<0.1%	−62−1.2%	Reduced	History
CTASCintas Corp	Stock	699	$347.6K	<0.1%	−565−44.7%	Reduced	History
ULTAUlta Beauty, Inc.	Stock	739	$347.8K	<0.1%	−146−16.5%	Reduced	History
Fidelity Covington Trust316092824	LOW VOLITY ETF	6,954	$348.5K	<0.1%	−1,291−15.7%	Reduced	–
Listed FDS Tr53656F623	HORI KI INFL ETF	11,405	$348.7K	<0.1%	−10,225−47.3%	Reduced	–
KLACKLA Corp	COM NEW	722	$350.4K	<0.1%	−2−0.3%	Reduced	History
HZNPHorizon Therapeutics Public Ltd Co	SHS	3,410	$350.7K	<0.1%	−420−11.0%	Reduced	History
PBRPetrobras - Petroleo Brasileiro SA	SPONSORED ADR	25,482	$352.4K	<0.1%	+3,511+16.0%	Added	History
OXLCOxford Lane Capital Corp.	COM	72,905	$352.9K	<0.1%	−2,062−2.8%	Reduced	History
Vanguard Emerging Markets Government Bond ETF921946885	ETF	5,706	$355.3K	<0.1%	−5,461−48.9%	Reduced	–
INTUIntuit Inc.	Stock	779	$357.2K	<0.1%	−225−22.4%	Reduced	History
SRESempra	Stock	2,462	$358.4K	<0.1%	−68−2.7%	Reduced	History
OTISOtis Worldwide Corp	Stock	4,048	$360.3K	<0.1%	−450−10.0%	Reduced	History
Vanguard Scottsdale FDS92206C714	VNG RUS1000VAL	5,247	$363.2K	<0.1%	−625−10.6%	Reduced	–
CORCencora, Inc.	Stock	1,892	$364.3K	<0.1%	−276−12.7%	Reduced	History
MMPMagellan Midstream Partners, L.P.	COM UNIT RP LP	5,851	$364.6K	<0.1%	−2,823−32.5%	Reduced	History
VSTOVista Outdoor Inc.	COM	13,230	$366.1K	<0.1%	−596−4.3%	Reduced	History
CASSCass Information Systems Inc	COM	9,486	$367.9K	<0.1%	−2,957−23.8%	Reduced	History
Victory Portfolios II92647N527	CORE BD ETF	8,005	$368.7K	<0.1%	+61+0.8%	Added	–
CPRTCopart Inc	COM	4,053	$369.7K	<0.1%	−429−9.6%	Reduced	History
VFCV F Corp	Stock	19,421	$370.8K	<0.1%	−1,180−5.7%	Reduced	History
KRNTKornit Digital Ltd.	SHS	12,687	$372.6K	<0.1%	−8,191−39.2%	Reduced	History
HLTHilton Worldwide Holdings Inc.	COM	2,562	$372.9K	<0.1%	−214−7.7%	Reduced	History
First Tr Energy Income & Gro33738G104	COM	26,830	$373.7K	<0.1%	−1,405−5.0%	Reduced	–
ProShares Tr74347B680	S&P MDCP 400 DIV	5,320	$373.9K	<0.1%	−1,444−21.3%	Reduced	–
YUMYum Brands Inc	Stock	2,717	$376.5K	<0.1%	−244−8.2%	Reduced	History
iShares Tr464288737	GLB CNSM STP ETF	6,153	$376.5K	<0.1%	−1,311−17.6%	Reduced	–
First Tr Exchange Traded FD33738R688	S&P INTL DIVID	24,525	$377.2K	<0.1%	−6,602−21.2%	Reduced	–
Atlantica Sustainable Infr PG0751N103	SHS	16,122	$377.9K	<0.1%	−127−0.8%	Reduced	–
First Tr Exch TRD Alphdx FD33737J174	DEV MRK EX US	7,383	$379.2K	<0.1%	−26,716−78.3%	Reduced	–
JBHTHunt J B Transport Services Inc	COM	2,100	$380.2K	<0.1%	−69−3.2%	Reduced	History
HIMSHims & Hers Health, Inc.	Stock	40,550	$381.2K	<0.1%	+40,550	New	History
FOURShift4 Payments, Inc.	CL A	5,625	$382.0K	<0.1%	−1,100−16.4%	Reduced	History
Vanguard Communication Services ETF92204A884	ETF	3,611	$383.9K	<0.1%	+3,611	New	–
RETAReata Pharmaceuticals Inc	CL A	3,775	$384.9K	<0.1%	−2,545−40.3%	Reduced	History
WHRWhirlpool Corp	Stock	2,605	$387.7K	<0.1%	−4,080−61.0%	Reduced	History
ASOAcademy Sports & Outdoors, Inc.	COM	7,194	$388.9K	<0.1%	−200−2.7%	Reduced	History
Invesco Exchange Traded FD T46137V449	S&P 100 EQL WIGH	4,778	$389.3K	<0.1%	+4,778	New	–
SKTTanger Inc.	COM	17,652	$389.6K	<0.1%	−704−3.8%	Reduced	History
First Tr Exchng Traded FD VI33740U406	FT VEST U.S.	11,540	$389.6K	<0.1%	−154,318−93.0%	Reduced	–
BIPBrookfield Infrastructure Partners L.P.	LP INT UNIT	10,683	$390.0K	<0.1%	+16+0.1%	Added	History
Flexshares Tr33939L837	INTL QLTDV IDX	17,780	$394.2K	<0.1%	+295+1.7%	Added	–
VanEck ETF Trust92189F429	PREFERRED SECURT	22,339	$394.7K	<0.1%	+10,350+86.3%	Added	–
DNPDNP Select Income Fund Inc	COM	37,732	$395.4K	<0.1%	−332−0.9%	Reduced	History
iShares Tr464287796	U.S. ENERGY ETF	9,238	$395.8K	<0.1%	−1,159−11.1%	Reduced	–
DHIHorton D R Inc	COM	3,266	$397.5K	<0.1%	+386+13.4%	Added	History
Dimensional ETF Trust25434V740	EMERGING MKTS VA	16,313	$397.6K	<0.1%	+2,143+15.1%	Added	–
Dimensional U.S. Targeted Value ETF25434V609	ETF	8,585	$398.3K	<0.1%	−6,579−43.4%	Reduced	–
ATOAtmos Energy Corp	COM	3,441	$400.3K	<0.1%	−615−15.2%	Reduced	History
ARK ETF Tr00214Q302	GENOMIC REV ETF	11,758	$400.8K	<0.1%	−2,222−15.9%	Reduced	–
CAGConagra Brands Inc.	Stock	11,908	$401.5K	<0.1%	−336−2.7%	Reduced	History
iShares Tr46434V647	GLOBAL REIT ETF	17,559	$403.3K	<0.1%	−3,770−17.7%	Reduced	–
STLAStellantis N.V.	SHS	23,010	$403.6K	<0.1%	+23,010	New	History
Invesco Exch Traded FD Tr II46138E222	S&P INTL MOMNT	12,227	$403.9K	<0.1%	+12,227	New	–
Fidelity Covington Trust316092790	QLTY FCTOR ETF	8,001	$404.5K	<0.1%	+10+0.1%	Added	–
J P Morgan Exchange Traded F46641Q308	DIV RTN EM EQT	8,011	$404.5K	<0.1%	−180−2.2%	Reduced	–
GWWW.W. Grainger, Inc.	Stock	513	$404.6K	<0.1%	−105−17.0%	Reduced	History
DOVDOVER Corp	COM	2,746	$405.6K	<0.1%	−91−3.2%	Reduced	History
First Tr Exchange-Traded FD33733A201	DOW 30 EQL WGT	13,484	$406.1K	<0.1%	+521+4.0%	Added	–
ROKURoku, Inc	COM CL A	6,360	$406.8K	<0.1%	−8,917−58.4%	Reduced	History
Innovator ETFs Trust45782C292	US EQT ULTRA BF	14,638	$409.1K	<0.1%	+14,638	New	–
ETSYEtsy Inc	COM	4,840	$409.6K	<0.1%	+55+1.1%	Added	History
CMAComerica Inc	COM	9,668	$409.6K	<0.1%	−1,310−11.9%	Reduced	History
CPCanadian Pacific Kansas City Ltd	COM	5,073	$409.8K	<0.1%	+301+6.3%	Added	History
SPDR Series Trust78468R622	ST BLOO HIGH ETF	4,458	$410.3K	<0.1%	−9,174−67.3%	Reduced	–
SCMStellus Capital Investment Corp	COM	29,428	$414.1K	<0.1%	+5,006+20.5%	Added	History
WisdomTree Tr97717X669	US QTLY DIV GRT	6,212	$414.2K	<0.1%	−743−10.7%	Reduced	–
First Tr Exchange-Traded Alp33737M102	MID CP GR ALPH	6,396	$414.4K	<0.1%	−670−9.5%	Reduced	–
MRSHMarsh & McLennan Companies, Inc.	Stock	2,205	$414.8K	<0.1%	−262−10.6%	Reduced	History
APOApollo Global Management, Inc.	COM	5,408	$415.4K	<0.1%	−3,052−36.1%	Reduced	History
ADIAnalog Devices Inc	Stock	2,136	$416.2K	<0.1%	−1,677−44.0%	Reduced	History
First Tr Exchange-Traded FD33738R712	DORSEYWRGT ETF	16,190	$418.7K	<0.1%	+16,190	New	–
IMOImperial Oil Ltd	COM NEW	8,204	$419.7K	<0.1%	−259−3.1%	Reduced	History
BENFranklin Templeton Inc	COM	15,735	$420.3K	<0.1%	+311+2.0%	Added	History
RVTRoyce Small-Cap Trust, Inc.	COM	30,487	$420.7K	<0.1%	+1,811+6.3%	Added	History
IVTInvenTrust Properties Corp.	COM NEW	18,207	$421.3K	<0.1%	−3,849−17.5%	Reduced	History
UTFCohen & Steers Infrastructure Fund Inc	COM	17,853	$421.7K	<0.1%	−2,749−13.3%	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
CCChemours Co	Stock	8,439	$252.7K	<0.1%	History
iShares Tr464288521	CRE U S REIT ETF	4,974	$250.7K	<0.1%	–
SNYSanofi	SPONSORED ADR	4,575	$249.0K	<0.1%	History
PIMCO ETF Tr72201R817	INV GRD CRP BD	2,584	$248.6K	<0.1%	–