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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
AMCRAmcor plcORD54,860$547.5K<0.1%−13,315−19.5%ReducedHistory
First Tr Exchng Traded FD VI33740U703FT VEST DEEP ETF25,461$548.5K<0.1%+4,438+21.1%Added–
SPDR Series Trust78468R408ST TERM HIGH ETF22,220$548.9K<0.1%−12,228−35.5%Reduced–
PBAPembina Pipeline CorpCOM17,477$549.5K<0.1%−3,115−15.1%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J460INVSCO 30 CORP33,995$550.7K<0.1%+33,995New–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF10,588$551.8K<0.1%−4,805−31.2%Reduced–
Innovator ETFs Trust45782C698US EQUT BUFR AUG16,447$552.0K<0.1%−1,368−7.7%Reduced–
HALHalliburton CoStock16,769$553.2K<0.1%−21,256−55.9%ReducedHistory
ZTRVirtus Total Return Fund Inc.COM91,303$555.1K<0.1%+580+0.6%AddedHistory
iShares Tr464288372GLB INFRASTR ETF11,837$555.7K<0.1%−2,752−18.9%Reduced–
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER10,854$558.0K<0.1%+1,919+21.5%Added–
CHDChurch & Dwight Co IncCOM5,586$559.9K<0.1%−746−11.8%ReducedHistory
UNMUnum GroupStock11,741$560.1K<0.1%−28,326−70.7%ReducedHistory
Innovator ETFs Trust45782C326US EQTY BUFR MAY17,646$560.8K<0.1%+7,386+72.0%Added–
Innovator ETFs Trust45782C383US EQTY PWR BUF16,692$563.7K<0.1%+537+3.3%Added–
MGMMGM Resorts InternationalStock12,843$564.1K<0.1%−1,137−8.1%ReducedHistory
PLTRPalantir Technologies Inc.Stock37,043$567.9K<0.1%+6,776+22.4%AddedHistory
iShares Tr464288752US HOME CONS ETF6,660$569.0K<0.1%+3,136+89.0%Added–
SPLKSplunk IncCOM5,372$569.9K<0.1%+1,683+45.6%AddedHistory
Cambria ETF Tr132061201SHSHLD YIELD ETF9,324$570.4K<0.1%−1,832−16.4%Reduced–
IDCCInterDigital, Inc.COM5,909$570.6K<0.1%+104+1.8%AddedHistory
Crescent PT Energy Corp22576C101COM84,800$570.7K<0.1%+900+1.1%Added–
QUREuniQure N.V.SHS49,870$571.5K<0.1%+776+1.6%AddedHistory
Global X FDS37954Y343GLBL X MLP ETF13,332$572.3K<0.1%+601+4.7%Added–
MFICMidCap Financial Investment CorpCOM NEW45,628$573.1K<0.1%−2,194−4.6%ReducedHistory
Innovator ETFs Trust45782C755US EQTY BUFR JUN17,115$574.2K<0.1%+8,601+101.0%Added–
AGNTAGNT, Inc.COM28,370$575.3K<0.1%−9,742−25.6%ReducedHistory
Invesco Exchange Traded FD T46137V480S&P SMCP VLU MNT12,522$581.5K<0.1%+1,435+12.9%Added–
Innovator ETFs Trust45782C789US EQTY BUFR JUL16,555$584.0K<0.1%+3,330+25.2%Added–
POOLPool CorpCOM1,561$584.8K<0.1%−196−11.2%ReducedHistory
ALLAllstate CorpStock5,371$585.7K<0.1%−5,341−49.9%ReducedHistory
Invesco Exchange Traded FD T46137V464S&P MDCP MOMNTUM7,367$585.9K<0.1%−1,296−15.0%Reduced–
TSNTyson Foods, Inc.Stock11,489$586.4K<0.1%−1,217−9.6%ReducedHistory
ProShares Tr74347B698RUSS 2000 DIVD9,923$586.9K<0.1%−19,157−65.9%Reduced–
DTMDT Midstream, Inc.COMMON STOCK11,895$589.6K<0.1%−6,434−35.1%ReducedHistory
JPMorgan Nasdaq Equity Premium Income ETF46654Q203ETF12,197$590.0K<0.1%−6,320−34.1%Reduced–
QSRRestaurant Brands International Inc.COM7,616$590.4K<0.1%−1,255−14.1%ReducedHistory
RIORio Tinto PLCADR9,276$592.2K<0.1%−15,094−61.9%ReducedHistory
HUBBHubbell IncCOM1,786$592.4K<0.1%+1,786NewHistory
CAHCardinal Health IncStock6,268$592.8K<0.1%−613−8.9%ReducedHistory
iShares Tr464287119MORNINGSTAR GRWT9,514$593.2K<0.1%−140−1.5%Reduced–
CCLCarnival Corp Ltd.UNIT 99/99/999931,585$594.8K<0.1%−7,555−19.3%ReducedHistory
CTRACoterra Energy Inc.Stock23,521$595.1K<0.1%−1,256−5.1%ReducedHistory
HIGHartford Insurance Group, Inc.Stock8,289$597.0K<0.1%−1,812−17.9%ReducedHistory
NETCloudflare, Inc.CL A COM9,152$598.3K<0.1%−2,439−21.0%ReducedHistory
Vanguard World FD921910709EXTENDED DUR6,913$601.9K<0.1%+6,913New–
HRLHormel Foods CorpCOM14,969$602.1K<0.1%−10,194−40.5%ReducedHistory
Capital Group Growth ETF14020G101SHS CREAT UNIT23,938$604.0K<0.1%+1,673+7.5%Added–
Global X FDS37954Y475S&P 500 COVERED14,829$608.7K<0.1%−1,986−11.8%Reduced–
LPXLouisiana-Pacific CorpCOM8,129$609.5K<0.1%−225−2.7%ReducedHistory
ECPGEncore Capital Group IncCOM12,546$610.0K<0.1%+109+0.9%AddedHistory
Timothy Plan887432326HIG DV STK ETF19,412$611.5K<0.1%−6,164−24.1%Reduced–
LULUlululemon athletica inc.Stock1,621$613.8K<0.1%−799−33.0%ReducedHistory
LHXL3HARRIS Technologies, Inc.Stock3,138$614.3K<0.1%−897−22.2%ReducedHistory
Vanguard Morningstar Small-Cap Growth ETF922908595ETF2,678$615.3K<0.1%−280−9.5%Reduced–
Invesco Exch TRD SLF Idx FD46138J619RUSL 1000 DYNM12,567$615.6K<0.1%+12,567New–
PGRProgressive CorpStock4,656$616.4K<0.1%−467−9.1%ReducedHistory
ZBHZimmer Biomet Holdings, Inc.Stock4,272$622.1K<0.1%−246−5.4%ReducedHistory
PNRPENTAIR plcSHS9,630$622.1K<0.1%−1,681−14.9%ReducedHistory
Fidelity High Dividend ETF316092840ETF15,668$622.7K<0.1%−1,936−11.0%Reduced–
BCEBce IncCOM NEW13,864$632.1K<0.1%−700−4.8%ReducedHistory
CICigna GroupStock2,260$634.2K<0.1%−264−10.5%ReducedHistory
XUnited States Steel CorpCOM25,573$639.6K<0.1%−2,460−8.8%ReducedHistory
RFICohen & Steers Total Return Realty Fund IncCOM56,480$645.0K<0.1%−2,041−3.5%ReducedHistory
MASMasco CorpCOM11,244$645.2K<0.1%+11,244NewHistory
NSCNorfolk Southern CorpStock2,846$645.4K<0.1%−771−21.3%ReducedHistory
GPCGenuine Parts CoStock3,820$646.6K<0.1%−1,055−21.6%ReducedHistory
IDXXIDEXX Laboratories IncCOM1,289$647.4K<0.1%−85−6.2%ReducedHistory
Vanguard World FD921910840MEGA CAP VAL ETF6,240$647.5K<0.1%−524−7.7%Reduced–
NNNNNN REIT, Inc.REIT15,146$648.1K<0.1%−2,510−14.2%ReducedHistory
First Tr Exch Traded FD III33739P830SHRT DUR MNG MUN32,965$650.7K<0.1%+1,249+3.9%Added–
iShares Tr464288562RESIDENTIAL MULT8,887$651.2K<0.1%−1,122−11.2%Reduced–
HOLXHologic IncCOM8,099$655.8K<0.1%−698−7.9%ReducedHistory
VICIVici Properties Inc.COM20,879$656.2K<0.1%−12,657−37.7%ReducedHistory
EXCExelon CorpStock16,155$658.2K<0.1%−4,715−22.6%ReducedHistory
ESSEssex Property Trust, Inc.COM2,809$658.2K<0.1%+9+0.3%AddedHistory
Innovator ETFs Trust45782C367INTRNL DEV APRL26,426$658.6K<0.1%+17,195+186.3%Added–
JXNJackson Financial Inc.COM CL A21,568$660.2K<0.1%−4,692−17.9%ReducedHistory
CTVACorteva, Inc.Stock11,530$660.7K<0.1%−5,723−33.2%ReducedHistory
SPDR Series Trust78464A201ST STR SP600GRWO8,586$660.8K<0.1%−392−4.4%Reduced–
Victory Portfolios II92647N535SHORT TRM BD ETF13,632$666.4K<0.1%−130−0.9%Reduced–
LINLinde PLCStock1,751$667.6K<0.1%−302−14.7%ReducedHistory
FTNTFortinet, Inc.Stock8,859$669.7K<0.1%+1,262+16.6%AddedHistory
NICENICE Ltd.SPONSORED ADR3,243$669.7K<0.1%−234−6.7%ReducedHistory
UTGReaves Utility Income FundCOM SH BEN INT24,492$671.6K<0.1%+14+0.1%AddedHistory
Schwab Intermediate-Term US Treasury ETF808524854ETF13,653$672.8K<0.1%+9,331+215.9%Added–
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF9,984$674.0K<0.1%−89,360−90.0%Reduced–
AMAntero Midstream CorpStock58,639$680.2K<0.1%+13,906+31.1%AddedHistory
SITESiteOne Landscape Supply, Inc.COM4,065$680.3K<0.1%−52−1.3%ReducedHistory
iShares Tr464288281JPMORGAN USD EMG7,862$680.4K<0.1%−6,480−45.2%Reduced–
VMIValmont Industries IncCOM2,346$682.9K<0.1%+203+9.5%AddedHistory
TSCOTractor Supply CoCOM3,088$683.0K<0.1%−406−11.6%ReducedHistory
SNASnap-on IncCOM2,373$684.1K<0.1%−73−3.0%ReducedHistory
RGNXREGENXBIO Inc.COM34,456$688.8K<0.1%+4,610+15.4%AddedHistory
SWKSSkyworks Solutions, Inc.Stock6,246$691.4K<0.1%−633−9.2%ReducedHistory
First Tr Exchange-Traded FD33739Q705FT VEST S&P 50013,085$691.6K<0.1%−778−5.6%Reduced–
SPGIS&P Global Inc.Stock1,730$693.6K<0.1%−596−25.6%ReducedHistory
PECOPhillips Edison & Company, Inc.COMMON STOCK20,373$694.3K<0.1%+660+3.3%AddedHistory
Innovator ETFs Trust45782C334GRWT100 PWR BF16,809$700.8K<0.1%−18,445−52.3%Reduced–
Vanguard Scottsdale FDS92206C813LG-TERM COR BD8,936$701.4K<0.1%−1,314−12.8%Reduced–

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%–