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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
WisdomTree Tr97717X131INTL QULTY DIV12,263$422.0K<0.1%+12,263New–
Innovator U.S. Equity Buffer ETF - October45782C771ETF11,628$423.2K<0.1%−1,111−8.7%Reduced–
CPECallon Petroleum CoCOM12,156$426.3K<0.1%+280+2.4%AddedHistory
ARK ETF Tr00214Q203AUTNMUS TECHNLGY7,580$427.2K<0.1%+99+1.3%Added–
SBLKStar Bulk Carriers Corp.SHS PAR24,163$427.7K<0.1%−8,090−25.1%ReducedHistory
Fidelity Covington Trust316092832DIVID ETF RISI10,276$429.0K<0.1%−4,560−30.7%Reduced–
Capital Grp Fixed Incm ETF T14020Y300US MULTI-SECTOR16,479$429.3K<0.1%+16,479New–
SNPSSynopsys IncCOM987$429.8K<0.1%−7−0.7%ReducedHistory
INABIN8BIO, Inc.COM279,400$430.3K<0.1%+75,500+37.0%AddedHistory
BLDRBuilders FirstSource, Inc.Stock3,187$433.5K<0.1%−801−20.1%ReducedHistory
CNACna Financial CorpCOM11,243$434.2K<0.1%−353−3.0%ReducedHistory
SNDXSyndax Pharmaceuticals IncCOM20,760$434.5K<0.1%−2,490−10.7%ReducedHistory
NIONIO Inc.ADR44,850$434.6K<0.1%+611+1.4%AddedHistory
iShares Inc464286681MSCI EQUAL WEITE5,525$435.4K<0.1%+5,525New–
iShares Tr46435G474FALN ANGLS USD17,195$436.3K<0.1%−4,240−19.8%Reduced–
OCOwens CorningStock3,343$436.3K<0.1%−200−5.6%ReducedHistory
FITBFifth Third BancorpCOM16,648$436.4K<0.1%−16,572−49.9%ReducedHistory
CCSCentury Communities, Inc.COM5,705$437.1K<0.1%−5,230−47.8%ReducedHistory
MKCMcCormick & Co IncStock5,027$438.5K<0.1%−363−6.7%ReducedHistory
Alps ETF Tr00162Q387OSHARES US QUALT9,978$438.9K<0.1%+216+2.2%Added–
ARCHArch Resources, Inc.CL A3,904$440.2K<0.1%+3,904NewHistory
Amplify ETF Tr032108409CWP ENHANCED DIV12,243$440.8K<0.1%−11,118−47.6%Reduced–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF7,253$442.5K<0.1%+219+3.1%Added–
iShares Tr464288448INTL SEL DIV ETF16,867$444.1K<0.1%−4,015−19.2%Reduced–
GNWGenworth Financial IncCOM SHS88,848$444.2K<0.1%−5,572−5.9%ReducedHistory
TXTTextron IncCOM6,618$447.6K<0.1%−260−3.8%ReducedHistory
BHVNBiohaven Ltd.COM18,782$449.3K<0.1%−425−2.2%ReducedHistory
Invesco Exchange Traded FD T46137V639AI AND NEXT GEN4,174$449.5K<0.1%−6,027−59.1%Reduced–
Franklin Templeton ETF Tr35473P108INTL COR DIV TIL15,500$453.1K<0.1%+15,500New–
FASTFastenal CoStock7,715$455.2K<0.1%−1,451−15.8%ReducedHistory
iShares Tr46432F388MSCI USA VALUE4,855$455.4K<0.1%−50,299−91.2%Reduced–
CINFCincinnati Financial CorpCOM4,724$459.8K<0.1%−5,423−53.4%ReducedHistory
J P Morgan Exchange Traded F46641Q845DIVERSFD EQT ETF11,230$460.0K<0.1%+11,230New–
SPDR Series Trust78464A821ST STR SP400GRW6,431$460.8K<0.1%+2,546+65.5%Added–
DKNGDraftKings Inc.Stock17,357$461.2K<0.1%−3,143−15.3%ReducedHistory
Invesco Exchange Traded FD T46137V456S&P MDCP VLU MNT10,014$461.8K<0.1%−3,422−25.5%Reduced–
CASHPathward Financial, Inc.COM9,973$462.4K<0.1%−3,043−23.4%ReducedHistory
LUVSouthwest Airlines CoCOM12,787$463.0K<0.1%−10,723−45.6%ReducedHistory
Dimensional ETF Trust25434V807INTERNATNAL VAL14,128$464.1K<0.1%+2,189+18.3%Added–
Northern LTS FD Tr IV66538H591MAIN SECTR ROTN10,827$466.6K<0.1%+10,827New–
TSMTaiwan Semiconductor Manufacturing Co LtdADR4,627$467.0K<0.1%−2,312−33.3%ReducedHistory
Invesco S&P 500 Quality ETF46137V241ETF9,264$467.4K<0.1%−482−4.9%Reduced–
VanEck ETF Trust92189H607OIL SERVICES ETF1,627$468.0K<0.1%−2,128−56.7%Reduced–
Innovator ETFs Trust45782C870US EQT PWR BUF15,169$468.7K<0.1%+1,705+12.7%Added–
Vanguard Mun BD FDS922907746TAX EXEMPT BD9,341$469.1K<0.1%−1,042−10.0%Reduced–
ETF Managers Tr26924G201PRIME CYBR SCRTY9,298$470.3K<0.1%−6,287−40.3%Reduced–
GSLGlobal Ship Lease, Inc.COM CL A24,270$470.8K<0.1%−308−1.3%ReducedHistory
SPDR Series Trust78468R770ST STR R1K YLD4,973$474.0K<0.1%−1,586−24.2%Reduced–
GLPIGaming & Leisure Properties, Inc.COM9,790$474.5K<0.1%−46−0.5%ReducedHistory
ACNAccenture plcStock1,545$476.9K<0.1%−4,931−76.1%ReducedHistory
MCHPMicrochip Technology IncStock5,331$477.6K<0.1%−2,854−34.9%ReducedHistory
RIVRivernorth Opportunities Fund, Inc.COM41,963$480.1K<0.1%+179+0.4%AddedHistory
NVONovo Nordisk A SADR2,966$480.1K<0.1%+879+42.1%AddedHistory
IRMIron Mountain IncCOM8,455$480.5K<0.1%−5,989−41.5%ReducedHistory
LIVELive Ventures IncCOM NEW18,439$483.3K<0.1%+630+3.5%AddedHistory
KEYKeycorpCOM52,793$487.8K<0.1%+5,920+12.6%AddedHistory
Flexshares Tr33939L662HIG YLD VL ETF12,130$490.5K<0.1%−311−2.5%Reduced–
MASIMasimo CorpCOM2,995$492.8K<0.1%+189+6.7%AddedHistory
ZIONZions Bancorporation, National AssociationCOM18,377$493.6K<0.1%+6,082+49.5%AddedHistory
First Tr Exch Traded FD III33739P301MUNI HI INCM ETF10,531$496.0K<0.1%+10,531New–
ANAutonation, Inc.COM3,035$499.6K<0.1%−1,146−27.4%ReducedHistory
WYWeyerhaeuser CoCOM NEW14,915$499.8K<0.1%+573+4.0%AddedHistory
WECWec Energy Group, Inc.Stock5,668$500.2K<0.1%−864−13.2%ReducedHistory
LEGLeggett & Platt IncStock16,893$500.4K<0.1%+771+4.8%AddedHistory
EWEdwards Lifesciences CorpStock5,312$501.1K<0.1%−1,740−24.7%ReducedHistory
IIPRInnovative Industrial Properties IncCOM6,877$502.2K<0.1%+675+10.9%AddedHistory
GXOGXO Logistics, Inc.Stock8,000$502.6K<0.1%−328−3.9%ReducedHistory
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US8,045$503.0K<0.1%00.0%Unchanged–
VEEVVeeva Systems IncStock2,547$503.6K<0.1%−2,008−44.1%ReducedHistory
VanEck ETF Trust92189H409HIGH YLD MUNIETF9,860$506.2K<0.1%−2,337−19.2%Reduced–
BFHBread Financial Holdings, Inc.COM16,131$506.4K<0.1%+3,753+30.3%AddedHistory
STNEStoneCo Ltd.COM39,925$508.6K<0.1%+39,925NewHistory
BSXBoston Scientific CorpStock9,467$512.1K<0.1%+73+0.8%AddedHistory
GNTXGentex CorpCOM17,516$512.5K<0.1%−1,088−5.8%ReducedHistory
SPGSimon Property Group Inc.REIT4,439$512.6K<0.1%−1,293−22.6%ReducedHistory
Innovator ETFs Trust45782C557US EQTY BUF DEC14,168$513.3K<0.1%−2,673−15.9%Reduced–
Global X FDS37954Y459RUSSELL 200028,486$515.3K<0.1%+2,758+10.7%Added–
Innovator ETFs Trust45782C888US EQT BUFR APR14,425$516.3K<0.1%+8,123+128.9%Added–
RCKTRocket Pharmaceuticals, Inc.COM26,087$518.3K<0.1%−1,508−5.5%ReducedHistory
PTYPIMCO Corporate & Income Opportunity FundCOM37,148$520.1K<0.1%+453+1.2%AddedHistory
LZBLa-Z-Boy IncCOM18,257$522.9K<0.1%+10.0%AddedHistory
First Tr Exchng Traded FD VI33740U109TCW SECURITIZED24,508$523.3K<0.1%−117−0.5%Reduced–
BEPCBrookfield Renewable CorpCL A SUB VTG16,697$526.3K<0.1%+527+3.3%AddedHistory
iShares Tr464289875CORE 40 MODE ETF13,037$526.9K<0.1%+2,609+25.0%Added–
iShares Tr464287812US CONSM STAPLES2,632$527.3K<0.1%+106+4.2%Added–
WORWorthington Enterprises, Inc.COM7,595$527.7K<0.1%+7,595NewHistory
GDVGabelli Dividend & Income TrustCOM24,989$528.0K<0.1%−3,205−11.4%ReducedHistory
OFSOFS Capital CorpCOM53,621$530.3K<0.1%+1,006+1.9%AddedHistory
PSECProspect Capital CorpCOM85,833$532.2K<0.1%−24,304−22.1%ReducedHistory
USBUS Bancorp DECOM NEW16,152$533.7K<0.1%−4,398−21.4%ReducedHistory
EOGEOG Resources IncStock4,688$536.6K<0.1%−2,035−30.3%ReducedHistory
iShares Russell Top 200 Growth ETF464289438ETF3,386$536.9K<0.1%−141−4.0%Reduced–
Alps ETF Tr00162Q395OSHARES US SMLCP14,686$539.0K<0.1%−689−4.5%Reduced–
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF11,750$539.2K<0.1%+6,144+109.6%Added–
PPLPPL CorpCOM20,388$539.5K<0.1%−1,674−7.6%ReducedHistory
HBANHuntington Bancshares IncCOM50,048$539.5K<0.1%−76,803−60.5%ReducedHistory
Innovator ETFs Trust45782C748US EQTY PWR BUF17,065$540.4K<0.1%−1,768−9.4%Reduced–
Northern LTS FD Tr IV66538H534INSPIRE 100 ETF16,463$541.5K<0.1%−4,170−20.2%Reduced–
SPDR Series Trust78468R200ST STR RATE ETF17,647$541.6K<0.1%+684+4.0%Added–
CEGConstellation Energy CorpStock5,969$546.5K<0.1%−1,450−19.5%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%–