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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q3 2023

Holdings as of Sep 30, 2023, filed Nov 6, 2023. Long positions only; changes compare share counts with Q2 2023.

Institution overview
Positions
1,188
−11 vs. Q2 2023
Portfolio value
$2.67B
−$117.3M (−4.2%) vs. Q2 2023
Filed
Nov 6, 2023
SEC
Holdings of Sigma Planning Corp in Q3 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20215,115$514<0.1%00.0%UnchangedHistory
SLNHSoluna Holdings, IncCOM18,807$3.94K<0.1%+18,807NewHistory
GTBPGT Biopharma, Inc.COM NEW20,395$4.92K<0.1%00.0%UnchangedHistory
MBRXMoleculin Biotech, Inc.COM17,000$7.27K<0.1%00.0%UnchangedHistory
Nine Energy Service, Inc.65441VAC5DEBT 13.000%10/2–$9.27K<0.1%–New–
STEXStreamex Corp.COM NEW20,900$10.2K<0.1%−3,100−12.9%ReducedHistory
CLOVClover Health Investments, Corp.COM CL A10,274$11.1K<0.1%−500−4.6%ReducedHistory
CGCCanopy Growth CorpCOM14,388$11.3K<0.1%+1,833+14.6%AddedHistory
EIGREiger BioPharmaceuticals, Inc.COM41,500$12.7K<0.1%−60,000−59.1%ReducedHistory
RCATRed Cat Holdings, Inc.Stock13,683$13.3K<0.1%00.0%UnchangedHistory
LUMNLumen Technologies, Inc.Stock12,943$18.4K<0.1%−13,385−50.8%ReducedHistory
IBRXImmunityBio, Inc.COM11,050$18.7K<0.1%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM114,500$19.1K<0.1%+39,999+53.7%AddedHistory
ANGIAngi Inc.COM CL A NEW10,200$20.2K<0.1%00.0%UnchangedHistory
PLGPlatinum Group Metals LtdCOM18,500$20.9K<0.1%00.0%UnchangedHistory
PSHGPerformance Shipping Inc.COMMON SHARES10,700$21.1K<0.1%00.0%UnchangedHistory
Portage Biotech IncG7185A128COM11,508$24.1K<0.1%00.0%Unchanged–
OPKOpko Health, Inc.COM15,102$24.2K<0.1%−200−1.3%ReducedHistory
TPICQTpi Composites, IncCOM10,011$26.5K<0.1%−49−0.5%ReducedHistory
EVGNEvogene Ltd.SHS50,985$29.9K<0.1%+6,041+13.4%AddedHistory
TLRYTilray Brands, Inc.COM CL 212,989$31.0K<0.1%+683+5.6%AddedHistory
DNNDenison Mines Corp.COM19,500$32.2K<0.1%+19,500NewHistory
EVGOEVgo Inc.CL A COM10,700$36.2K<0.1%+10,700NewHistory
FCELFuelcell Energy IncCOM28,595$36.6K<0.1%−1,000−3.4%ReducedHistory
SBSafe Bulkers, Inc.COM11,518$37.3K<0.1%+11,518NewHistory
OXSQOxford Square Capital Corp.COM13,932$41.9K<0.1%−997−6.7%ReducedHistory
NOKNokia CorpSPONSORED ADR11,999$44.9K<0.1%+11,999NewHistory
NKLANikola CorpCOM29,644$46.5K<0.1%+190+0.6%AddedHistory
HBIHanesbrands Inc.COM11,861$47.0K<0.1%−1,881−13.7%ReducedHistory
TFFPTFF Pharmaceuticals, Inc.COM145,050$50.8K<0.1%00.0%UnchangedHistory
BBBLACKBERRY LtdCOM12,326$58.1K<0.1%00.0%UnchangedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,180$58.9K<0.1%−1,695−9.5%ReducedHistory
AGFirst Majestic Silver CorpCOM11,701$60.0K<0.1%−37,314−76.1%ReducedHistory
LTRNLantern Pharma Inc.COM18,125$61.8K<0.1%00.0%UnchangedHistory
ETF Managers Tr26924G508ETFMG ALTR HRVST17,245$62.9K<0.1%−9,929−36.5%Reduced–
IGRCbre Global Real Estate Income FundCOM14,060$63.3K<0.1%+278+2.0%AddedHistory
SIRISirius XM Holdings Inc.COM14,126$63.9K<0.1%−1,234−8.0%ReducedHistory
CDECoeur Mining, Inc.COM NEW31,670$70.3K<0.1%+8,260+35.3%AddedHistory
DCGODocGo Inc.COM13,600$72.5K<0.1%−600−4.2%ReducedHistory
Harbor Custom Development IN41150T2078% CONV PFD SR A16,511$73.6K<0.1%+16,511New–
QSQuantumScape CorpCOM CL A11,344$75.9K<0.1%−1,425−11.2%ReducedHistory
HLHecla Mining CoCOM19,887$77.8K<0.1%+3,586+22.0%AddedHistory
SBSWSibanye Stillwater LtdSPONSORED ADR12,781$78.9K<0.1%+12,781NewHistory
MTTRMatterport, Inc.COM CL A38,608$83.8K<0.1%+2,835+7.9%AddedHistory
STEMStem, Inc.CL A20,075$85.1K<0.1%−1,475−6.8%ReducedHistory
CIMChimera Investment CorpCOM NEW16,053$87.7K<0.1%+216+1.4%AddedHistory
FSCOFS Credit Opportunities Corp.COMMON STOCK16,768$90.9K<0.1%−9,767−36.8%ReducedHistory
VMOInvesco Municipal Opportunity TrustCOM11,681$96.1K<0.1%−716−5.8%ReducedHistory
BYNDBeyond Meat, Inc.COM10,220$98.3K<0.1%+10,220NewHistory
RWTRedwood Trust IncCOM13,838$98.7K<0.1%+3,254+30.7%AddedHistory
BBDCBarings BDC, Inc.COM11,523$102.7K<0.1%+898+8.5%AddedHistory
Advisorshares Tr00768Y453PURE US CANN ETF13,277$105.4K<0.1%−1,179−8.2%Reduced–
BGSB&G Foods, Inc.COM11,202$110.8K<0.1%−600−5.1%ReducedHistory
SCWO374Water Inc.Common Stock90,243$111.9K<0.1%+16,050+21.6%AddedHistory
EDITEditas Medicine, Inc.COM14,558$113.6K<0.1%−409−2.7%ReducedHistory
NWLNewell Brands Inc.Stock13,009$117.5K<0.1%+771+6.3%AddedHistory
FAXAbrdn Asia-Pacific Income Fund, Inc.COM47,953$117.5K<0.1%+3,991+9.1%AddedHistory
VanEck ETF Trust92189F452MORTGAGE REIT10,550$120.0K<0.1%+10,550New–
SERSerina Therapeutics, Inc.COM181,385$123.3K<0.1%+41,685+29.8%AddedHistory
RUMRUM Group Inc.Stock24,341$124.1K<0.1%+5,150+26.8%AddedHistory
AWFAlliancebernstein Global High Income Fund IncCOM12,881$125.0K<0.1%+12,881NewHistory
PCNPIMCO Corporate & Income Strategy FundCOM10,273$125.0K<0.1%+10,273NewHistory
HTZHertz Global Holdings, IncCOM NEW10,207$125.0K<0.1%+10,207NewHistory
PCTPureCycle Technologies, Inc.COM22,507$126.3K<0.1%+3,225+16.7%AddedHistory
Amplify ETF Tr032108847CEF HIGH INCOME11,531$128.1K<0.1%+11,531New–
HLNHaleon plcADR15,590$129.9K<0.1%+1,167+8.1%AddedHistory
EZPWEzcorp IncCL A NON VTG16,396$135.3K<0.1%−317−1.9%ReducedHistory
SJTSan Juan Basin Royalty TrustUNIT BEN INT20,333$140.9K<0.1%+422+2.1%AddedHistory
IRTIndependence Realty Trust, Inc.COM10,168$143.1K<0.1%−194−1.9%ReducedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS13,361$145.5K<0.1%−11,779−46.9%Reduced–
CRKComstock Resources IncCOM13,202$145.6K<0.1%+25+0.2%AddedHistory
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM12,638$145.9K<0.1%+12,638NewHistory
BLEBlackRock Municipal Income Trust IICOM16,359$149.5K<0.1%00.0%UnchangedHistory
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM15,110$150.0K<0.1%−1,912−11.2%ReducedHistory
ONBOld National BancorpStock10,523$153.0K<0.1%−35−0.3%ReducedHistory
FSRFisker Inc.CL A COM STK24,289$155.9K<0.1%−2,455−9.2%ReducedHistory
XRXXerox Holdings CorpCOM NEW10,014$157.1K<0.1%−44,590−81.7%ReducedHistory
GFNew Germany Fund IncCOM19,446$158.9K<0.1%00.0%UnchangedHistory
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM10,671$165.8K<0.1%+252+2.4%AddedHistory
PLUGPlug Power IncStock21,876$166.3K<0.1%+2,525+13.0%AddedHistory
ATOMAtomera IncCOM26,750$167.5K<0.1%00.0%UnchangedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$173.5K<0.1%–––
Golden Ocean Group LtdG39637205SHS NEW22,172$174.7K<0.1%−595−2.6%Reduced–
SCUSculptor Capital Management, Inc.COM CL A15,988$185.5K<0.1%+15,988NewHistory
MFCManulife Financial CorpCOM10,178$186.1K<0.1%+10,178NewHistory
LACLithium Americas Corp.COM NEW10,995$187.0K<0.1%+10,995NewHistory
MDNAFMedicenna Therapeutics Corp.COM634,550$187.1K<0.1%+329,250+107.8%AddedHistory
INTSIntensity Therapeutics, Inc.COM48,144$191.1K<0.1%+48,144NewHistory
TSITCW Strategic Income Fund IncCOM41,951$192.1K<0.1%+293+0.7%AddedHistory
MPTMedical Properties Trust IncCOM35,442$193.2K<0.1%−59,787−62.8%ReducedHistory
CMLSQCumulus Media IncCOM CL A38,105$194.0K<0.1%+2,900+8.2%AddedHistory
ETF Managers Tr26924G102PRIME JUNIR SLVR22,878$194.0K<0.1%−1,125−4.7%Reduced–
GLUGabelli Global Utility & Income TrustCOM SH BEN INT14,402$194.6K<0.1%+685+5.0%AddedHistory
Global X FDS37950E291GLOBX SUPDV US12,141$196.6K<0.1%+740+6.5%Added–
PFLTPennantPark Floating Rate Capital Ltd.COM18,616$198.5K<0.1%+1,429+8.3%AddedHistory
Vanguard Admiral FDS Inc921932885MIDCP 400 IDX2,373$200.7K<0.1%+2,373New–
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM10,120$200.7K<0.1%00.0%UnchangedHistory
TDOCTeladoc Health, Inc.COM10,823$201.2K<0.1%−623−5.4%ReducedHistory
First Tr Exchange-Traded FD33734X168MATERIALS ALPH3,192$201.2K<0.1%−27−0.8%Reduced–
CVICVR Energy IncCOM5,915$201.3K<0.1%+5,915NewHistory

Options (9)

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 Q3 2023
SecurityClassPutsCalls
NWLNewell Brands Inc.Stock$33.8K–
ProShares Tr74347R206PSHS ULTRA QQQ–$25.9K
PBIPitney Bowes IncCOM$22.6K–
TUPTupperware Brands CorpCOM$11.1K–
GNWGenworth Financial IncCOM SHS$7.99K–
EZPWEzcorp IncCL A NON VTG$3.73K–
STEXStreamex Corp.COM NEW–$795
NOKNokia CorpSPONSORED ADR$660–
UBSUBS Group AGStock–$250

Sold out since Q2 2023 (124)

Positions held at the end of Q2 2023 that are gone from this filing.

The largest 100 of 124 by value last quarter.

Positions of Sigma Planning Corp sold out since Q2 2023
SecurityClassShares in Q2 2023Value in Q2 2023% of portfolio in Q2 2023History
First Tr Exchange-Traded FD33733E856FT VEST GOLD151,227$2.89M0.1%–
ONONOn Holding AGStock47,459$1.57M0.1%History
T Rowe Price Exchange-Traded87283Q404PRICE DIV GRWT45,526$1.52M0.1%–
CELHCelsius Holdings, Inc.COM NEW9,467$1.41M0.1%History
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR23,515$1.17M<0.1%–
Timothy Plan887432359US LRGMD CP CORE30,521$1.10M<0.1%–
Flexshares Tr33939L886ULTR SHO INC FD11,937$894.8K<0.1%–
Flexshares Tr33939L761CR SCD US BD16,915$792.6K<0.1%–
Timothy Plan887432342U S SM CP CORE24,518$781.7K<0.1%–
RBCRBC Bearings INCCOM3,351$728.7K<0.1%History
Dimensional ETF Trust25434V724US MKTWIDE VALUE20,838$718.9K<0.1%–
Vanguard World FD921910709EXTENDED DUR6,913$601.9K<0.1%–
Northern LTS FD Tr IV66538H534INSPIRE 100 ETF16,463$541.5K<0.1%–
First Tr Exchng Traded FD VI33740U109TCW SECURITIZED24,508$523.3K<0.1%–
Flexshares Tr33939L662HIG YLD VL ETF12,130$490.5K<0.1%–
SPDR Series Trust78468R770ST STR R1K YLD4,973$474.0K<0.1%–
Dimensional ETF Trust25434V807INTERNATNAL VAL14,128$464.1K<0.1%–
LUVSouthwest Airlines CoCOM12,787$463.0K<0.1%History
J P Morgan Exchange Traded F46641Q845DIVERSFD EQT ETF11,230$460.0K<0.1%–
Franklin Templeton ETF Tr35473P108INTL COR DIV TIL15,500$453.1K<0.1%–
iShares Inc464286681MSCI EQUAL WEITE5,525$435.4K<0.1%–
BLDRBuilders FirstSource, Inc.Stock3,187$433.5K<0.1%History
WisdomTree Tr97717X131INTL QULTY DIV12,263$422.0K<0.1%–
First Tr Exchange-Traded FD33738R712DORSEYWRGT ETF16,190$418.7K<0.1%–
APOApollo Global Management, Inc.COM5,408$415.4K<0.1%History
CMAComerica IncCOM9,668$409.6K<0.1%History
Invesco Exch Traded FD Tr II46138E222S&P INTL MOMNT12,227$403.9K<0.1%–
iShares Tr46434V647GLOBAL REIT ETF17,559$403.3K<0.1%–
Dimensional U.S. Targeted Value ETF25434V609ETF8,585$398.3K<0.1%–
Flexshares Tr33939L837INTL QLTDV IDX17,780$394.2K<0.1%–
First Tr Exchng Traded FD VI33740U406FT VEST U.S.11,540$389.6K<0.1%–
Invesco Exchange Traded FD T46137V449S&P 100 EQL WIGH4,778$389.3K<0.1%–
RETAReata Pharmaceuticals IncCL A3,775$384.9K<0.1%History
FOURShift4 Payments, Inc.CL A5,625$382.0K<0.1%History
HIMSHims & Hers Health, Inc.Stock40,550$381.2K<0.1%History
KRNTKornit Digital Ltd.SHS12,687$372.6K<0.1%History
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP5,851$364.6K<0.1%History
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT7,145$346.5K<0.1%–
COINCoinbase Global, Inc.COM CL A4,813$344.4K<0.1%History
FNVFranco Nevada CorpStock2,361$336.7K<0.1%History
TWLOTwilio IncCL A5,273$335.5K<0.1%History
CWHCamping World Holdings, Inc.CL A11,122$334.8K<0.1%History
Hartford FDS Exchange Traded41653L503MUN OPORTUNITE8,789$334.4K<0.1%–
DINDine Brands Global, Inc.COM5,385$312.5K<0.1%History
KSSKOHLS CorpStock13,312$306.9K<0.1%History
RTLNecessity Retail REIT, Inc.COM CLASS A43,459$293.8K<0.1%History
MIDDMIDDLEBY CorpCOM1,957$289.3K<0.1%History
AEMAgnico Eagle Mines LtdStock5,783$289.1K<0.1%History
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC3,657$287.9K<0.1%–
Invesco Exchange Traded FD T46137V563HIG YLD EQ DIV14,804$284.5K<0.1%–
MMDNYLI MacKay DefinedTerm Muni Opportunities FundCOM16,400$280.0K<0.1%History
EMNEastman Chemical CoStock3,338$279.5K<0.1%History
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF4,059$279.2K<0.1%–
Pacer Trendpilot US Mid Cap ETF69374H204ETF8,300$273.4K<0.1%–
JRONuveen Floating Rate Income Opportunity FundCOM SHS34,931$272.5K<0.1%History
iShares Tr464287838U.S. BAS MTL ETF2,037$271.0K<0.1%–
ENPHEnphase Energy, Inc.Stock1,617$270.8K<0.1%History
Dimensional ETF Trust25434V401US EQUI MARK ETF5,534$266.5K<0.1%–
DOCNDigitalOcean Holdings, Inc.COM6,539$262.5K<0.1%History
TRTNTriton International LtdCL A3,050$253.9K<0.1%History
OVVOvintiv Inc.COM6,540$249.0K<0.1%History
UALUnited Airlines Holdings, Inc.COM4,519$248.0K<0.1%History
PAASPan American Silver CorpStock16,650$242.8K<0.1%History
Mag Silver Corp55903Q104COM21,581$240.4K<0.1%–
METMetlife IncStock4,225$238.9K<0.1%History
BUDAnheuser-Busch InBev SA/NVADR4,185$237.4K<0.1%History
SSRMSSR Mining Inc.Stock16,686$236.6K<0.1%History
ALLYAlly Financial Inc.Stock8,722$235.6K<0.1%History
iShares Ibonds Dec 2026 Term Corporate ETF46435GAA0ETF9,903$232.4K<0.1%–
AALAmerican Airlines Group Inc.Stock12,923$231.9K<0.1%History
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF3,741$230.8K<0.1%–
DYDycom Industries IncCOM2,030$230.7K<0.1%History
KDPKeurig Dr Pepper Inc.COM7,364$230.3K<0.1%History
REYNReynolds Consumer Products Inc.COM8,123$229.5K<0.1%History
State Street SPDR S&P Regional Banking ETF78464A698ETF5,615$229.3K<0.1%–
KGCKinross Gold CorpCOM47,980$228.9K<0.1%History
NTRSNorthern Trust CorpCOM3,068$227.5K<0.1%History
DBLDoubleLine Opportunistic Credit FundCOM15,643$227.0K<0.1%History
ARK Next Generation Technology ETF00214Q401ETF3,834$224.7K<0.1%–
iShares U.S. Healthcare Providers ETF464288828ETF877$224.5K<0.1%–
Invesco Exchange Traded FD T46137V621FINL PFD ETF15,454$221.8K<0.1%–
iShares Inc46434G855MSCI GBL GOLD MN9,456$220.3K<0.1%–
Alps ETF Tr00162Q858SECTR DIV DOGS4,344$217.1K<0.1%–
Ea Series Trust02072L698STRIVE EMERGING8,130$214.3K<0.1%–
BMOBank of MontrealCOM2,359$213.1K<0.1%History
DRIDarden Restaurants IncCOM1,262$210.9K<0.1%History
FSLRFirst Solar, Inc.Stock1,109$210.8K<0.1%History
BABAAlibaba Group Holding LtdADR2,510$209.2K<0.1%History
CMCCommercial Metals CoStock3,965$208.8K<0.1%History
MPMP Materials Corp.COM CL A9,122$208.7K<0.1%History
PEverpure, Inc.CL A5,664$208.6K<0.1%History
HCAHCA Healthcare, Inc.COM687$208.5K<0.1%History
PFGPrincipal Financial Group IncCOM2,744$208.2K<0.1%History
BAXBaxter International IncStock4,569$208.2K<0.1%History
PNWPinnacle West Capital CorpCOM2,548$207.6K<0.1%History
ICEIntercontinental Exchange, Inc.Stock1,821$206.0K<0.1%History
SASeabridge Gold IncCOM16,860$203.2K<0.1%History
STMSTMicroelectronics N.V.NY REGISTRY4,063$203.2K<0.1%History
Flexshares Tr33939L100MORNSTAR USMKT1,200$202.4K<0.1%–
New Gold Inc Cda644535106COM186,710$201.6K<0.1%–