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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
iShares Tr46428865310-20 YR TRS ETF8,144$902.2K<0.1%−4,536−35.8%Reduced–
KHCKraft Heinz CoStock25,456$903.7K<0.1%−2,672−9.5%ReducedHistory
PNCPNC Financial Services Group, Inc.Stock7,181$904.5K<0.1%+731+11.3%AddedHistory
HSYHershey CoCOM3,633$907.4K<0.1%−1,941−34.8%ReducedHistory
AFLAflac IncStock13,020$908.8K<0.1%−2,133−14.1%ReducedHistory
Vanguard Index FDS922908652EXTEND MKT ETF6,106$908.9K<0.1%−1,543−20.2%Reduced–
CLColgate Palmolive CoStock11,799$909.0K<0.1%−1,458−11.0%ReducedHistory
EPDEnterprise Products Partners L.P.Stock34,522$909.7K<0.1%−3,446−9.1%ReducedHistory
Capital Group Intl Focus EQT14019W109SHS CREAT UNIT38,734$911.0K<0.1%+1,628+4.4%Added–
DDDuPont de Nemours, Inc.COM12,780$913.1K<0.1%−2,025−13.7%ReducedHistory
TJXTJX Companies IncStock10,797$915.5K<0.1%−1,322−10.9%ReducedHistory
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH5,992$917.7K<0.1%−428−6.7%Reduced–
BIPCBrookfield Infrastructure CorpCOM SB VTG SHS A20,198$920.6K<0.1%−288−1.4%ReducedHistory
Capital Group Core Equity Et14020V108SHS CREAT UNIT35,913$922.3K<0.1%−4,430−11.0%Reduced–
NUSNu Skin Enterprises, Inc.CL A27,791$922.7K<0.1%00.0%UnchangedHistory
ALBAlbemarle CorpStock4,142$924.1K<0.1%+103+2.6%AddedHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF81,307$924.5K<0.1%+3,169+4.1%Added–
iShares Tr464287788U.S. FINLS ETF12,391$924.6K<0.1%−819−6.2%Reduced–
Vanguard Utilities ETF92204A876ETF6,521$927.1K<0.1%−4,596−41.3%Reduced–
DBPInvesco DB Precious Metals FundPRECIOUS METAL18,856$930.6K<0.1%+416+2.3%AddedHistory
WisdomTree Tr97717W380INTRST RATE HDGE21,163$936.3K<0.1%+977+4.8%Added–
VanEck ETF Trust92189F437FALLEN ANGEL HG33,767$937.7K<0.1%−7,108−17.4%Reduced–
First Tr Exchange-Traded FD33734X200DJ GLBL DIVID43,744$937.9K<0.1%−6,581−13.1%Reduced–
MPCMarathon Petroleum CorpStock8,045$938.1K<0.1%−3,239−28.7%ReducedHistory
URIUnited Rentals, Inc.COM2,112$941.0K<0.1%−504−19.3%ReducedHistory
ONOn Semiconductor CorpStock9,990$944.9K<0.1%+1,359+15.7%AddedHistory
Global X FDS37954Y673US INFR DEV ETF30,080$945.4K<0.1%−12,603−29.5%Reduced–
MROMarathon Oil CorpCOM41,276$950.2K<0.1%−55−0.1%ReducedHistory
Exchange Traded Concepts Tr301505749VSPR US LC ETF38,724$952.4K<0.1%−4,320−10.0%Reduced–
Columbia ETF Tr II19762B202EM CORE EX ETF33,340$953.5K<0.1%+33,340New–
SLBSLB LimitedStock19,417$953.8K<0.1%−12,506−39.2%ReducedHistory
First Tr Exch Traded FD III33740J104ULTRA SHT DUR MU47,847$956.0K<0.1%+1,487+3.2%Added–
iShares Tr46435G219INVT GRAD SY ETF21,763$961.7K<0.1%−431−1.9%Reduced–
CCitigroup IncStock20,962$965.1K<0.1%−6,449−23.5%ReducedHistory
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF22,447$969.7K<0.1%−5,546−19.8%Reduced–
VRTXVertex Pharmaceuticals IncStock2,762$972.0K<0.1%+10+0.4%AddedHistory
Vanguard Morningstar Large-Cap ETF922908637ETF4,801$973.3K<0.1%−5,316−52.5%Reduced–
OKEONEOK IncCOM15,802$975.3K<0.1%−6,509−29.2%ReducedHistory
DBCInvesco DB Commodity Index Tracking FundUNIT42,969$975.4K<0.1%−6,082−12.4%ReducedHistory
CARRCarrier Global CorpStock19,670$977.8K<0.1%+369+1.9%AddedHistory
LNGCheniere Energy, Inc.COM NEW6,430$979.7K<0.1%+2,702+72.5%AddedHistory
WisdomTree Tr97717W109US TOTAL DIVIDND15,901$987.3K<0.1%+10+0.1%Added–
MRVLMarvell Technology, Inc.COM16,516$987.4K<0.1%−4,205−20.3%ReducedHistory
BWABorgwarner IncCOM20,231$989.5K<0.1%−2,600−11.4%ReducedHistory
PHKPIMCO High Income FundCOM SHS198,680$993.4K<0.1%−8,049−3.9%ReducedHistory
iShares U S ETF Tr46431W507SHOR DURA BD ETF20,050$996.9K<0.1%−14,208−41.5%Reduced–
CROXCrocs, Inc.COM8,886$999.3K<0.1%−3,818−30.1%ReducedHistory
AEPAmerican Electric Power Co IncStock11,878$1.00M<0.1%−2,887−19.6%ReducedHistory
ETEnergy Transfer LPCOM UT LTD PTN79,012$1.00M<0.1%−10,553−11.8%ReducedHistory
WPCW. P. Carey Inc.COM14,989$1.01M<0.1%−3,309−18.1%ReducedHistory
First Tr Exchange-Traded FD33734X309S NETWRK FUT VEH18,283$1.02M<0.1%−3,170−14.8%Reduced–
First Tr Exchange Traded FD33738R100MULTI ASSET DI70,425$1.03M<0.1%−22,853−24.5%Reduced–
iShares Tr464287234MSCI EMG MKT ETF26,013$1.03M<0.1%−9,716−27.2%Reduced–
PHYSSprott Physical Gold TrustPHYSICAL GOLD TR69,035$1.03M<0.1%+7,335+11.9%AddedHistory
OHIOmega Healthcare Investors IncCOM33,601$1.03M<0.1%−4,618−12.1%ReducedHistory
Schwab Fundamental U.S. Large Company ETF808524771ETF17,927$1.03M<0.1%−6,741−27.3%Reduced–
First Tr Exchange-Traded Alp33735K108COM SHS10,229$1.04M<0.1%−38,311−78.9%Reduced–
iShares Tr464288166AGENCY BOND ETF9,691$1.04M<0.1%−835−7.9%Reduced–
Invesco Exch TRD SLF Idx FD46138J635INVSCO BLSH 2645,504$1.04M<0.1%+45,504New–
NLYAnnaly Capital Management IncREIT51,886$1.04M<0.1%−466−0.9%ReducedHistory
SHELShell plcADR17,222$1.04M<0.1%−4,544−20.9%ReducedHistory
NMFCNew Mountain Finance CorpCOM84,235$1.05M<0.1%−4,091−4.6%ReducedHistory
WMBWilliams Companies, Inc.COM32,166$1.05M<0.1%−9,855−23.5%ReducedHistory
Global X Lithium & Battery Tech ETF37954Y855ETF16,179$1.05M<0.1%−1,549−8.7%Reduced–
SJMJ M SMUCKER CoStock7,126$1.05M<0.1%−63−0.9%ReducedHistory
Dimensional ETF Trust25434V203INTL CORE EQT MK38,553$1.05M<0.1%+860+2.3%Added–
XYZBlock, Inc.CL A15,896$1.06M<0.1%−3,485−18.0%ReducedHistory
FRTFederal Realty Investment TrustSH BEN INT NEW10,990$1.06M<0.1%+233+2.2%AddedHistory
Fidelity Covington Trust316092873MSCI COMMNTN SVC26,495$1.07M<0.1%+3,545+15.4%Added–
MCKMcKesson CorpStock2,504$1.07M<0.1%+12+0.5%AddedHistory
MUMicron Technology IncStock16,996$1.07M<0.1%−7,280−30.0%ReducedHistory
Schwab U.S. Mid-Cap ETF808524508ETF15,123$1.07M<0.1%+146+1.0%Added–
Invesco Exch TRD SLF Idx FD46138J833BULSHS 2024 HY47,819$1.07M<0.1%+2,045+4.5%Added–
AMATApplied Materials IncStock7,470$1.08M<0.1%−1,913−20.4%ReducedHistory
Invesco Exch Traded FD Tr II46138G698S&P 500 REVENUE13,515$1.08M<0.1%−1,080−7.4%Reduced–
DGXQuest Diagnostics IncCOM7,718$1.08M<0.1%+220+2.9%AddedHistory
Invesco Exch TRD SLF Idx FD46138J817BULSHS 2025 HY48,264$1.09M<0.1%+2,017+4.4%Added–
Timothy Plan887432359US LRGMD CP CORE30,521$1.10M<0.1%+722+2.4%Added–
NINisource Inc.COM40,160$1.10M<0.1%+50.0%AddedHistory
Invesco Exchange Traded FD T46137V233S&P 500 TOP 503,141$1.10M<0.1%+530+20.3%Added–
iShares U.S. Treasury Bond ETF46429B267ETF47,998$1.10M<0.1%+7,843+19.5%Added–
EMREmerson Electric CoStock12,301$1.11M<0.1%−2,928−19.2%ReducedHistory
VanEck ETF Trust92189F387SHRT HGH YLD MUN49,910$1.11M<0.1%+1,675+3.5%Added–
MDLZMondelez International, Inc.Stock15,286$1.11M<0.1%−482−3.1%ReducedHistory
Schwab Fundamental International Equity ETF808524755ETF35,656$1.15M<0.1%+1,971+5.9%Added–
OLEDUniversal Display CorpCOM7,993$1.15M<0.1%−362−4.3%ReducedHistory
Ssga Active ETF Tr78467V608ST STR BL LN ETF27,698$1.16M<0.1%−617−2.2%Reduced–
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR23,515$1.17M<0.1%−9,510−28.8%Reduced–
Vanguard Star FDS921909768VG TL INTL STK F20,863$1.17M<0.1%−5,477−20.8%Reduced–
PAYXPaychex IncStock10,478$1.17M<0.1%−2,332−18.2%ReducedHistory
XELXcel Energy IncStock18,903$1.18M<0.1%−227−1.2%ReducedHistory
Fidelity Covington Trust316092857MSCI RL EST ETF46,916$1.18M<0.1%−94,802−66.9%Reduced–
Vanguard Morningstar Mid-Cap Growth ETF922908538ETF5,736$1.18M<0.1%−1,591−21.7%Reduced–
BDXBecton Dickinson & CoStock4,501$1.19M<0.1%−1,060−19.1%ReducedHistory
Pacer US Small Cap Cash Cows ETF69374H857ETF29,200$1.19M<0.1%−10,367−26.2%Reduced–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY50,773$1.19M<0.1%+2,313+4.8%Added–
XPOXPO, Inc.COM20,497$1.21M<0.1%+187+0.9%AddedHistory
First Tr Exchng Traded FD VI33740F870LOW DUR STRTGC66,186$1.22M<0.1%−78,390−54.2%Reduced–
OUNZVanEck Merk Gold ETFGOLD SHS65,683$1.22M<0.1%−16,555−20.1%ReducedHistory
iShares Semiconductor ETF464287523ETF2,409$1.22M<0.1%+286+13.5%Added–

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%–