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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
NTGTortoise Midstream Energy Fund, Inc.COM5,916$202.1K<0.1%+18+0.3%AddedHistory
DFSDiscover Financial ServicesCOM2,333$202.2K<0.1%−120−4.9%ReducedHistory
SYBTStock Yards Bancorp, Inc.COM5,155$202.5K<0.1%−350−6.4%ReducedHistory
Flexshares Tr33939L407MORNSTAR UPSTR5,010$202.6K<0.1%−16,221−76.4%Reduced–
OLNOLIN CorpStock4,054$202.7K<0.1%−1,705−29.6%ReducedHistory
WBDWarner Bros. Discovery, Inc.Stock18,845$204.7K<0.1%−7,974−29.7%ReducedHistory
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM26,703$205.1K<0.1%+1,071+4.2%AddedHistory
HRHealthcare Realty Trust IncCL A COM13,453$205.4K<0.1%−4,009−23.0%ReducedHistory
FTITechnipFMC plcCOM10,121$205.9K<0.1%−1,537−13.2%ReducedHistory
PINSPinterest, Inc.CL A7,641$206.6K<0.1%−2,446−24.2%ReducedHistory
WSTWest Pharmaceutical Services IncCOM551$206.8K<0.1%+551NewHistory
ZIMZIM Integrated Shipping Services Ltd.SHS19,796$206.9K<0.1%+2,927+17.4%AddedHistory
BNYBank of New York Mellon CorpStock4,860$207.3K<0.1%−1,058−17.9%ReducedHistory
Global X FDS37954Y848GLOBAL X SILVER8,677$207.4K<0.1%−433−4.8%Reduced–
Cambria ETF Tr132061201SHSHLD YIELD ETF3,361$207.9K<0.1%−5,963−64.0%Reduced–
DELLDell Technologies Inc.Stock3,028$208.7K<0.1%+3,028NewHistory
Fidelity Covington Trust316092345BLUE CHIP VALUE7,608$209.3K<0.1%−30.0%Reduced–
SEMSelect Medical Holdings CorpCOM8,290$209.5K<0.1%+8,290NewHistory
First Tr Exchange Traded FD33741L108DORSY WR MOMNT8,397$209.6K<0.1%−1,082−11.4%Reduced–
iShares Ibonds 2025 Term High Yield & Income ETF46435U168ETF9,143$209.7K<0.1%+9,143New–
Great Ajax Corp38983D4097.25 CV SR NT 248,696$209.7K<0.1%+8,696New–
WNCWabash National CorpCOM10,010$211.4K<0.1%−90−0.9%ReducedHistory
TERTeradyne, IncStock2,105$211.5K<0.1%+241+12.9%AddedHistory
ProShares Tr74347B698RUSS 2000 DIVD3,738$211.5K<0.1%−6,185−62.3%Reduced–
SYNASYNAPTICS IncStock2,374$212.3K<0.1%−1,000−29.6%ReducedHistory
Abrdn ETFs003261104BBRG ALL COMD K110,066$212.5K<0.1%+10,066New–
TYLTyler Technologies IncCOM552$213.1K<0.1%+552NewHistory
NMAINuveen Multi-Asset Income FundCOM19,249$214.1K<0.1%−1,503−7.2%ReducedHistory
SAMBoston Beer Co IncCL A552$215.0K<0.1%+552NewHistory
EVGEaton Vance Short Duration Diversified Income FundCOM20,909$216.8K<0.1%+80+0.4%AddedHistory
ABRArbor Realty Trust IncCOM14,292$217.0K<0.1%−398−2.7%ReducedHistory
OMCOmnicom Group Inc.COM2,914$217.1K<0.1%−292−9.1%ReducedHistory
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG11,885$217.1K<0.1%+785+7.1%Added–
Invesco Exch Traded FD Tr II46138E537NATL AMT MUNI9,801$217.2K<0.1%−150−1.5%Reduced–
RCLRoyal Caribbean Cruises LtdCOM2,378$219.1K<0.1%−363−13.2%ReducedHistory
KKRKKR & Co. Inc.COM3,572$220.1K<0.1%+3,572NewHistory
NTRNutrien Ltd.COM3,569$220.4K<0.1%−74−2.0%ReducedHistory
Capital Grp Fixed Incm ETF T14020Y409SHORT DURATION8,816$220.8K<0.1%+8,816New–
NGGNational Grid PLCSPONSORED ADR NE3,643$220.9K<0.1%−264−6.8%ReducedHistory
SOFISoFi Technologies, Inc.Stock27,761$221.8K<0.1%+4,902+21.4%AddedHistory
iShares Ibonds Dec 2026 Term Muni Bond ETF46435U259ETF8,985$222.9K<0.1%+37+0.4%Added–
DOCUDocuSign, Inc.Stock5,311$223.1K<0.1%+807+17.9%AddedHistory
WBSWebster Financial CorpCOM5,543$223.4K<0.1%+18+0.3%AddedHistory
RIOTRiot Platforms, Inc.COM23,981$223.8K<0.1%+2,920+13.9%AddedHistory
ETF Ser Solutions26922A172NATIONWIDE RSK11,110$223.9K<0.1%+1,775+19.0%Added–
LMBLimbach Holdings, Inc.COM7,062$224.1K<0.1%+7,062NewHistory
Paramount Global92556H206CL B17,436$224.9K<0.1%−3,797−17.9%Reduced–
Atlantica Sustainable Infr PG0751N103SHS11,823$225.8K<0.1%−4,299−26.7%Reduced–
VFCV F CorpStock12,785$225.9K<0.1%−6,636−34.2%ReducedHistory
ICLRIcon PLCCOM919$226.3K<0.1%−50−5.2%ReducedHistory
CNCCentene CorpStock3,290$226.6K<0.1%−185−5.3%ReducedHistory
EFREaton Vance Senior Floating-Rate TrustCOM18,774$227.4K<0.1%+3,039+19.3%AddedHistory
PCARPaccar IncCOM2,687$228.5K<0.1%+65+2.5%AddedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS24,909$229.4K<0.1%−6,216−20.0%ReducedHistory
First Tr Exchng Traded FD VI33740F425FT VEST U.S7,623$229.8K<0.1%+7,623New–
iShares Tr464288703MRNING SM CP ETF4,452$230.5K<0.1%00.0%Unchanged–
First Tr Exchng Traded FD VI33740U844FT VEST U.S6,985$231.4K<0.1%−744−9.6%Reduced–
AMPAmeriprise Financial IncCOM704$232.2K<0.1%+3+0.4%AddedHistory
SNOWSnowflake Inc.Stock1,520$232.2K<0.1%+213+16.3%AddedHistory
KLACKLA CorpCOM NEW508$233.0K<0.1%−214−29.6%ReducedHistory
BMIBadger Meter IncCOM1,620$233.1K<0.1%+1,620NewHistory
TEAMAtlassian CorpCL A1,161$234.0K<0.1%+1,161NewHistory
iShares Tr464288612INTRM GOV CR ETF2,310$234.2K<0.1%+2,310New–
GPKGraphic Packaging Holding CoCOM10,544$234.9K<0.1%+10,544NewHistory
LKQLKQ CorpCOM4,746$235.0K<0.1%+4,746NewHistory
NEANuveen AMT-Free Quality Municipal Income FundCOM24,279$235.0K<0.1%−5,352−18.1%ReducedHistory
Fidelity Merrimack STR Tr316188101CORP BOND ETF5,377$235.0K<0.1%+29+0.5%Added–
PSAPublic StorageCOM891$235.0K<0.1%+27+3.1%AddedHistory
DKSDick's Sporting Goods, Inc.Stock2,173$236.0K<0.1%+481+28.4%AddedHistory
ODFLOld Dominion Freight Line, Inc.COM576$236.1K<0.1%+576NewHistory
VTRSViatris IncStock23,987$236.5K<0.1%−526−2.1%ReducedHistory
Invesco Exchange Traded FD T46137V332S&P500 EQL HLT8,655$237.2K<0.1%−805−8.5%ReducedConverted for a 10-for-1 split–
J P Morgan Exchange Traded F46641Q654ULTRA SHT MUNCPL4,708$237.5K<0.1%+4,708New–
DASHDoorDash, Inc.Stock3,001$238.5K<0.1%+3,001NewHistory
iShares Global Clean Energy ETF464288224ETF16,325$238.7K<0.1%−1,181−6.7%Reduced–
SLVMSylvamo CorpCOMMON STOCK5,437$238.9K<0.1%−70−1.3%ReducedHistory
iShares Tr46434V381FUTU EXPO TE ETF4,576$238.9K<0.1%+340+8.0%Added–
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG2,845$239.6K<0.1%+2,845New–
GIBCgi IncCL A2,452$241.5K<0.1%−217−8.1%ReducedHistory
ARAntero Resources CorpCOM9,581$243.2K<0.1%+9,581NewHistory
Dimensional U.S. Core Equity 2 ETF25434V708ETF9,339$244.7K<0.1%+440+4.9%Added–
Innovator ETFs Trust45782C276GRWT100 PWR BUF4,828$245.3K<0.1%+4,828New–
CIKUBS Asset Management Income Fund, Inc.COM94,761$245.4K<0.1%−6,360−6.3%ReducedHistory
SPDR Series Trust78468R861STATE STRET SPDR13,691$247.5K<0.1%+897+7.0%Added–
iShares Tr464288737GLB CNSM STP ETF4,344$247.9K<0.1%−1,809−29.4%Reduced–
EIXEdison InternationalStock3,919$248.1K<0.1%+387+11.0%AddedHistory
KNXKnight-Swift Transportation Holdings Inc.CL A4,969$249.2K<0.1%+4,969NewHistory
iShares Core MSCI Europe ETF46434V738ETF5,020$249.3K<0.1%+5,020New–
CHDNChurchill Downs IncCOM2,154$249.9K<0.1%+20+0.9%AddedHistory
STXSeagate Technology Holdings plcORD SHS3,792$250.1K<0.1%−1,666−30.5%ReducedHistory
COFCapital One Financial CorpStock2,579$250.3K<0.1%−16−0.6%ReducedHistory
RBLXRoblox CorpStock8,727$252.7K<0.1%+1,643+23.2%AddedHistory
RGRSturm Ruger & Co IncStock4,865$253.6K<0.1%−602−11.0%ReducedHistory
Direxion Shares ETF Trust25459Y207NASDAQ 100 EQ WT3,400$254.3K<0.1%+3,400New–
Invesco Exch Traded FD Tr II46138G706SOLAR ETF4,914$254.5K<0.1%+452+10.1%Added–
MASIMasimo CorpCOM2,905$254.7K<0.1%−90−3.0%ReducedHistory
WHRWhirlpool CorpStock1,909$255.3K<0.1%−696−26.7%ReducedHistory
GLWCorning IncCOM8,415$256.4K<0.1%−553−6.2%ReducedHistory
TAPMolson Coors Beverage CoCL B4,034$256.6K<0.1%+747+22.7%AddedHistory
ETSYEtsy IncCOM3,973$256.6K<0.1%−867−17.9%ReducedHistory

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%–