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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
SVCService Properties TrustCOM SH BEN INT33,508$257.7K<0.1%+1,500+4.7%AddedHistory
WisdomTree Tr97717W505US MIDCAP DIVID6,314$258.7K<0.1%−1,904−23.2%Reduced–
CRCrane CoCOMMON STOCK2,914$258.9K<0.1%00.0%UnchangedHistory
LNTAlliant Energy CorpStock5,350$259.2K<0.1%−881−14.1%ReducedHistory
CFLTConfluent, Inc.CLASS A COM8,756$259.3K<0.1%+8,756NewHistory
iShares Tr464287192US TRSPRTION1,110$259.6K<0.1%00.0%Unchanged–
iShares 1-10 Year U.S. Aggregate Bond ETF464288596ETF2,595$259.7K<0.1%+56+2.2%Added–
Dimensional ETF Trust25434V849NATL MUN BD ETF5,597$260.1K<0.1%+5,597New–
CQPCheniere Energy Partners, L.P.COM UNIT4,807$260.5K<0.1%+346+7.8%AddedHistory
NEMNEWMONT CorpStock7,052$260.6K<0.1%+309+4.6%AddedHistory
JPMorgan Chase & Co46625H365ALERIAN ML ETN10,563$260.9K<0.1%−183−1.7%Reduced–
MCHPMicrochip Technology IncStock3,352$261.6K<0.1%−1,979−37.1%ReducedHistory
Innovator ETFs Trust45782C391US EQTY BUFR MAR7,221$262.4K<0.1%−619−7.9%Reduced–
Schwab U.S. Large-Cap Value ETF808524409ETF4,074$262.6K<0.1%+419+11.5%Added–
HIIHuntington Ingalls Industries, Inc.COM1,285$263.0K<0.1%−82−6.0%ReducedHistory
EXPDExpeditors International of Washington IncCOM2,297$263.4K<0.1%+160+7.5%AddedHistory
Fidelity Covington Trust316092337FIDELITY FUND LR16,237$266.3K<0.1%+3,505+27.5%Added–
CASSCass Information Systems IncCOM7,159$266.7K<0.1%−2,327−24.5%ReducedHistory
First Tr Exchng Traded FD VI33740F474FT VEST US EQT8,431$266.8K<0.1%00.0%Unchanged–
BGBunge Global SACOM2,478$268.3K<0.1%−628−20.2%ReducedHistory
PAYCPaycom Software, Inc.Stock1,036$268.6K<0.1%+70+7.2%AddedHistory
IPInternational Paper CoCOM7,576$268.7K<0.1%−1,909−20.1%ReducedHistory
Innovator ETFs Trust45782C433US EQTY BUFR FEB8,075$269.0K<0.1%−36,355−81.8%Reduced–
iShares Tr46435U432IBONDS DEC 2510,319$269.1K<0.1%+37+0.4%Added–
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF1,853$269.3K<0.1%+1,853New–
TTETotalEnergies SESPONSORED ADS4,097$269.4K<0.1%+124+3.1%AddedHistory
Defiance Quantum ETF26922A420ETF5,629$270.1K<0.1%+1,635+40.9%Added–
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW5,505$270.7K<0.1%−1,010−15.5%Reduced–
iShares Tr46436E569ESG SELECT SCRE8,365$271.3K<0.1%−443−5.0%Reduced–
Invesco Exch TRD SLF Idx FD46138J619RUSL 1000 DYNM5,932$272.0K<0.1%−6,635−52.8%Reduced–
LTCLTC Properties IncREIT8,470$272.2K<0.1%+327+4.0%AddedHistory
Innovator ETFs Trust45782C409US EQTY BUFR JAN7,449$273.7K<0.1%−1,014−12.0%Reduced–
BIPBrookfield Infrastructure Partners L.P.LP INT UNIT9,333$274.4K<0.1%−1,350−12.6%ReducedHistory
iShares Tr464288208MRGSTR MD CP ETF4,598$274.7K<0.1%−574−11.1%Reduced–
SNVSynovus Financial CorpCOM NEW9,920$275.8K<0.1%00.0%UnchangedHistory
UTFCohen & Steers Infrastructure Fund IncCOM14,118$276.4K<0.1%−3,735−20.9%ReducedHistory
iShares Tr46434V1000-5YR INVT GR CP5,763$276.6K<0.1%−28,718−83.3%Reduced–
iShares Tr46435G318IBONDS DEC202310,880$277.7K<0.1%+49+0.5%Added–
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF9,869$277.8K<0.1%+1,169+13.4%AddedConverted for a 10-for-1 split–
CAGConagra Brands Inc.Stock10,156$278.5K<0.1%−1,752−14.7%ReducedHistory
DOXAmdocs LtdSHS3,308$279.5K<0.1%+727+28.2%AddedHistory
NXPINXP Semiconductors N.V.COM1,398$279.5K<0.1%+1,398NewHistory
Vanguard Emerging Markets Government Bond ETF921946885ETF4,744$280.7K<0.1%−962−16.9%Reduced–
PENNPENN Entertainment, Inc.COM12,272$281.6K<0.1%+12,272NewHistory
ASMLASML Holding NVADR478$281.7K<0.1%+145+43.5%AddedHistory
SPDR Series Trust78464A821ST STR SP400GRW4,093$283.0K<0.1%−2,338−36.4%Reduced–
Doubleline ETF Trust25861R105OPPO CORE BD ETF6,422$283.3K<0.1%+6,422New–
PBIPitney Bowes IncCOM94,409$285.1K<0.1%+9,340+11.0%AddedHistory
RBB FD Inc74933W478US TREASRY 12 MT5,727$285.8K<0.1%+1,006+21.3%Added–
iShares Inc46434G863ESG AWR MSCI EM9,452$286.2K<0.1%−1,257−11.7%Reduced–
iShares Tr46435G243ESG AWRE 1 5 YR12,209$290.2K<0.1%+10+0.1%Added–
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG21,183$290.4K<0.1%00.0%UnchangedHistory
iShares Tr46435G474FALN ANGLS USD11,715$290.5K<0.1%−5,480−31.9%Reduced–
JHGJanus Henderson Group Ltd.ORD SHS11,289$291.5K<0.1%−254−2.2%ReducedHistory
Invesco Exchange Traded FD T46137V746LARG CAP GRO ETF4,301$291.6K<0.1%+20.0%Added–
ESTCElastic N.V.ORD SHS3,594$292.0K<0.1%+3,594NewHistory
Cambria ETF Tr132061300CAMBRIA FGN SHR12,205$292.7K<0.1%+992+8.8%Added–
RBB FD Inc74933W486US TREASY 2 YR6,114$293.2K<0.1%+1,937+46.4%Added–
PIMCO ETF Tr72201R627SR LN ACTIVE ETF5,833$293.4K<0.1%+5,833New–
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT80,495$294.6K<0.1%+1,783+2.3%AddedHistory
ULTAUlta Beauty, Inc.Stock738$294.8K<0.1%−1−0.1%ReducedHistory
American Centy ETF Tr025072406QUALITY DIVRSFED6,875$295.0K<0.1%+577+9.2%Added–
GEHCGE HealthCare Technologies Inc.Stock4,354$296.3K<0.1%+830+23.6%AddedHistory
INABIN8BIO, Inc.COM285,050$296.5K<0.1%+5,650+2.0%AddedHistory
First Tr Exchange-Traded FD33739G103MNGD FUTRS STRGY6,067$297.2K<0.1%−291−4.6%Reduced–
SPHSuburban Propane Partners LPUNIT LTD PARTN18,609$298.7K<0.1%+616+3.4%AddedHistory
MTBM&T Bank CorpCOM2,374$300.2K<0.1%+27+1.2%AddedHistory
PAXSPIMCO Access Income FundSHS BENFIN INT21,670$300.8K<0.1%00.0%UnchangedHistory
SNDXSyndax Pharmaceuticals IncCOM20,750$301.3K<0.1%−100.0%ReducedHistory
WTRGEssential Utilities, Inc.COM8,777$301.3K<0.1%+246+2.9%AddedHistory
BKNGBooking Holdings Inc.Stock97$301.9K<0.1%+97NewHistory
Capital Grp Fixed Incm ETF T14020Y201MUN INM ETF11,766$302.4K<0.1%+11,766New–
MURMurphy Oil CorpCOM6,670$302.5K<0.1%+6,670NewHistory
AZOAutoZone IncCOM119$302.7K<0.1%−1,489−92.6%ReducedHistory
Vanguard Financials ETF92204A405ETF3,778$303.5K<0.1%+934+32.8%Added–
PIMCO ETF Tr72201R7830-5 HIGH YIELD3,362$303.6K<0.1%+142+4.4%Added–
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF2,767$305.7K<0.1%+855+44.7%Added–
IMVTImmunovant, Inc.COM7,965$305.8K<0.1%−3,935−33.1%ReducedHistory
First Tr Exch TRD Alphdx FD33737J174DEV MRK EX US6,091$306.0K<0.1%−1,292−17.5%Reduced–
DDOGDatadog, Inc.CL A COM3,361$306.2K<0.1%+125+3.9%AddedHistory
ASOAcademy Sports & Outdoors, Inc.COM6,490$306.8K<0.1%−704−9.8%ReducedHistory
WELLWelltower Inc.REIT3,779$309.6K<0.1%+249+7.1%AddedHistory
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF12,810$311.8K<0.1%+12,810New–
CDNSCadence Design Systems IncStock1,332$312.1K<0.1%+187+16.3%AddedHistory
Invesco Exchange Traded FD T46137V308BUYBACK ACHIEV3,469$312.2K<0.1%+3,469New–
Innovator ETFs Trust45783Y541EQUITY DEF PROTN12,882$314.6K<0.1%+12,882New–
BERYBerry Global Group, Inc.COM5,090$315.1K<0.1%+5,090NewHistory
MSCIMSCI Inc.Stock615$315.6K<0.1%+81+15.2%AddedHistory
PHParker-Hannifin CorpStock811$316.1K<0.1%+142+21.2%AddedHistory
REGNRegeneron Pharmaceuticals, Inc.COM385$316.8K<0.1%−70−15.4%ReducedHistory
CCJCameco CorpStock8,000$317.1K<0.1%−18,321−69.6%ReducedHistory
Goldman Sachs ETF Tr381430529ACCES TREASURY3,169$317.3K<0.1%+3,169New–
ARMKAramarkCOM9,184$318.7K<0.1%+3,500+61.6%AddedHistory
RPMRPM International IncCOM3,367$319.3K<0.1%−62−1.8%ReducedHistory
Invesco Exchange Traded FD T46137V480S&P SMCP VLU MNT6,638$319.6K<0.1%−5,884−47.0%Reduced–
DHIHorton D R IncCOM2,976$319.8K<0.1%−290−8.9%ReducedHistory
iShares Tr46435U697IBONDS DEC12,537$322.1K<0.1%+1,790+16.7%Added–
LRNStride, Inc.COM7,200$324.2K<0.1%+7,200NewHistory
VISTVista Energy, S.A.B. de C.V.SPONSORED ADS10,685$324.7K<0.1%−2,275−17.6%ReducedHistory
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF9,281$325.5K<0.1%+219+2.4%Added–

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%–