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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
Invesco Exchange Traded FD T46137V548INTL DIVI ACHI24,803$414.5K<0.1%+6,287+34.0%Added–
iShares Tr464288372GLB INFRASTR ETF9,706$420.2K<0.1%−2,131−18.0%Reduced–
DINOHF Sinclair CorpCOM7,386$420.5K<0.1%−85−1.1%ReducedHistory
GNLGlobal Net Lease, Inc.COM NEW43,803$421.0K<0.1%+28,381+184.0%AddedHistory
iShares Tr46432F388MSCI USA VALUE4,641$421.1K<0.1%−214−4.4%Reduced–
Innovator ETFs Trust45782C367INTRNL DEV APRL17,543$423.6K<0.1%−8,883−33.6%Reduced–
BCSFBain Capital Specialty Finance, Inc.COM STK27,730$424.6K<0.1%+27,730NewHistory
iShares Tr464288273EAFE SML CP ETF7,522$424.8K<0.1%−20,285−72.9%Reduced–
Innovator U.S. Equity Buffer ETF - October45782C771ETF12,002$426.1K<0.1%+374+3.2%Added–
ROKURoku, IncCOM CL A6,122$432.2K<0.1%−238−3.7%ReducedHistory
TSMTaiwan Semiconductor Manufacturing Co LtdADR4,978$432.6K<0.1%+351+7.6%AddedHistory
iShares Tr464287234MSCI EMG MKT ETF11,408$433.0K<0.1%−14,605−56.1%Reduced–
GWWW.W. Grainger, Inc.Stock633$438.0K<0.1%+120+23.4%AddedHistory
VICIVici Properties Inc.COM15,090$439.1K<0.1%−5,789−27.7%ReducedHistory
MRSHMarsh & McLennan Companies, Inc.Stock2,308$439.4K<0.1%+103+4.7%AddedHistory
GLPIGaming & Leisure Properties, Inc.COM9,677$440.8K<0.1%−113−1.2%ReducedHistory
AGNCAGNC Investment Corp.REIT46,858$442.3K<0.1%+16,126+52.5%AddedHistory
IVTInvenTrust Properties Corp.COM NEW18,581$442.4K<0.1%+374+2.1%AddedHistory
RIVRivernorth Opportunities Fund, Inc.COM42,146$443.0K<0.1%+183+0.4%AddedHistory
AGNTAGNT, Inc.COM27,340$444.0K<0.1%−1,030−3.6%ReducedHistory
IRMIron Mountain IncCOM7,476$444.5K<0.1%−979−11.6%ReducedHistory
ADIAnalog Devices IncStock2,540$444.7K<0.1%+404+18.9%AddedHistory
CPCanadian Pacific Kansas City LtdCOM5,977$444.8K<0.1%+904+17.8%AddedHistory
FASTFastenal CoStock8,165$446.2K<0.1%+450+5.8%AddedHistory
GNRCGenerac Holdings Inc.Stock4,109$447.8K<0.1%−986−19.4%ReducedHistory
Innovator ETFs Trust45782C888US EQT BUFR APR12,871$450.1K<0.1%−1,554−10.8%Reduced–
JBHTHunt J B Transport Services IncCOM2,388$450.2K<0.1%+288+13.7%AddedHistory
GSLGlobal Ship Lease, Inc.COM CL A24,569$450.6K<0.1%+299+1.2%AddedHistory
ALGNAlign Technology IncCOM1,484$453.1K<0.1%+1,484NewHistory
FLNGFlex LNG Ltd.SHS15,108$455.7K<0.1%+4,376+40.8%AddedHistory
WECWec Energy Group, Inc.Stock5,657$455.7K<0.1%−11−0.2%ReducedHistory
Invesco Exchange Traded FD T46137V456S&P MDCP VLU MNT9,951$456.2K<0.1%−63−0.6%Reduced–
SBLKStar Bulk Carriers Corp.SHS PAR23,674$456.4K<0.1%−489−2.0%ReducedHistory
NIONIO Inc.ADR50,644$457.8K<0.1%+5,794+12.9%AddedHistory
FTNTFortinet, Inc.Stock7,823$459.1K<0.1%−1,036−11.7%ReducedHistory
CASHPathward Financial, Inc.COM9,975$459.8K<0.1%+20.0%AddedHistory
CCLCarnival Corp Ltd.UNIT 99/99/999933,513$459.8K<0.1%+1,928+6.1%AddedHistory
VanEck ETF Trust92189H409HIGH YLD MUNIETF9,373$460.0K<0.1%−487−4.9%Reduced–
CPECallon Petroleum CoCOM11,761$460.1K<0.1%−395−3.2%ReducedHistory
WORWorthington Enterprises, Inc.COM7,445$460.3K<0.1%−150−2.0%ReducedHistory
GXOGXO Logistics, Inc.Stock7,966$467.3K<0.1%−34−0.4%ReducedHistory
LEGLeggett & Platt IncStock18,587$472.3K<0.1%+1,694+10.0%AddedHistory
Innovator ETFs Trust45782C557US EQTY BUF DEC13,524$472.9K<0.1%−644−4.5%Reduced–
Dimensional ETF Trust25434V872CORE FIXE IN ETF11,717$473.0K<0.1%+11,717New–
Alps ETF Tr00162Q387OSHARES US QUALT11,339$475.4K<0.1%+1,361+13.6%Added–
ETF Managers Tr26924G201PRIME CYBR SCRTY9,224$476.0K<0.1%−74−0.8%Reduced–
iShares Tr464288448INTL SEL DIV ETF18,779$477.0K<0.1%+1,912+11.3%Added–
WYWeyerhaeuser CoCOM NEW15,593$478.1K<0.1%+678+4.5%AddedHistory
Vanguard Mun BD FDS922907746TAX EXEMPT BD9,944$478.3K<0.1%+603+6.5%Added–
MNSTMonster Beverage CorpCOM9,064$480.0K<0.1%+9,064NewHistory
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US8,045$480.5K<0.1%00.0%Unchanged–
MGMMGM Resorts InternationalStock13,081$480.9K<0.1%+238+1.9%AddedHistory
First Tr Exchange-Traded FD33739Q705FT VEST S&P 5009,820$484.8K<0.1%−3,265−25.0%Reduced–
First Tr Exchange-Traded Alp33735B108COM SHS5,263$484.8K<0.1%−2,980−36.2%Reduced–
ILMNIllumina, Inc.COM3,539$485.9K<0.1%−205−5.5%ReducedHistory
SPDR Series Trust78468R556SP O&G EXPL PRO3,285$485.9K<0.1%+3,285New–
GNTXGentex CorpCOM14,946$486.4K<0.1%−2,570−14.7%ReducedHistory
ELVElevance Health, Inc.Stock1,120$487.7K<0.1%−830−42.6%ReducedHistory
LENLennar CorpCL A4,362$489.6K<0.1%−1,984−31.3%ReducedHistory
IDCCInterDigital, Inc.COM6,102$489.7K<0.1%+193+3.3%AddedHistory
OCOwens CorningStock3,592$490.1K<0.1%+249+7.4%AddedHistory
Vanguard Communication Services ETF92204A884ETF4,673$491.6K<0.1%+1,062+29.4%Added–
Vanguard Morningstar Small-Cap Growth ETF922908595ETF2,297$492.1K<0.1%−381−14.2%Reduced–
ZIONZions Bancorporation, National AssociationCOM14,113$492.4K<0.1%−4,264−23.2%ReducedHistory
CPRTCopart IncCOM11,451$493.4K<0.1%+3,345+41.3%AddedConverted for a 2-for-1 splitHistory
SWKSSkyworks Solutions, Inc.Stock5,008$493.8K<0.1%−1,238−19.8%ReducedHistory
ZTRVirtus Total Return Fund Inc.COM103,309$495.9K<0.1%+12,006+13.1%AddedHistory
CHDChurch & Dwight Co IncCOM5,418$496.5K<0.1%−168−3.0%ReducedHistory
INTUIntuit Inc.Stock972$496.9K<0.1%+193+24.8%AddedHistory
First Tr Exch Traded FD III33739P301MUNI HI INCM ETF11,033$497.3K<0.1%+502+4.8%Added–
SPDR Series Trust78468R622ST BLOO HIGH ETF5,514$498.5K<0.1%+1,056+23.7%Added–
iShares Tr464288281JPMORGAN USD EMG6,072$501.1K<0.1%−1,790−22.8%Reduced–
PTYPIMCO Corporate & Income Opportunity FundCOM38,386$501.7K<0.1%+1,238+3.3%AddedHistory
GDVGabelli Dividend & Income TrustCOM25,828$502.1K<0.1%+839+3.4%AddedHistory
Invesco Exch Traded FD Tr II46138E263S&P GBL WATER10,847$504.6K<0.1%−7−0.1%Reduced–
UNMUnum GroupStock10,276$505.5K<0.1%−1,465−12.5%ReducedHistory
HUNHuntsman CORPCOM20,738$506.0K<0.1%−7,112−25.5%ReducedHistory
HRLHormel Foods CorpCOM13,368$508.4K<0.1%−1,601−10.7%ReducedHistory
iShares Russell Top 200 Growth ETF464289438ETF3,308$509.0K<0.1%−78−2.3%Reduced–
iShares Tr464289875CORE 40 MODE ETF13,083$509.4K<0.1%+46+0.4%Added–
Global X FDS37954Y475S&P 500 COVERED13,156$511.7K<0.1%−1,673−11.3%Reduced–
TXTTextron IncCOM6,578$514.0K<0.1%−40−0.6%ReducedHistory
POOLPool CorpCOM1,443$514.1K<0.1%−118−7.6%ReducedHistory
Innovator ETFs Trust45782C326US EQTY BUFR MAY16,544$514.1K<0.1%−1,102−6.2%Reduced–
AMCRAmcor plcORD56,333$516.0K<0.1%+1,473+2.7%AddedHistory
USBUS Bancorp DECOM NEW15,621$516.5K<0.1%−531−3.3%ReducedHistory
Innovator ETFs Trust45782C755US EQTY BUFR JUN15,794$518.4K<0.1%−1,321−7.7%Reduced–
BFHBread Financial Holdings, Inc.COM15,171$518.9K<0.1%−960−6.0%ReducedHistory
QSRRestaurant Brands International Inc.COM7,800$519.6K<0.1%+184+2.4%AddedHistory
IMOImperial Oil LtdCOM NEW8,450$520.5K<0.1%+246+3.0%AddedHistory
GPCGenuine Parts CoStock3,608$521.1K<0.1%−212−5.5%ReducedHistory
GNWGenworth Financial IncCOM SHS88,932$521.1K<0.1%+84+0.1%AddedHistory
IIPRInnovative Industrial Properties IncCOM6,922$523.7K<0.1%+45+0.7%AddedHistory
SPGSimon Property Group Inc.REIT4,855$524.5K<0.1%+416+9.4%AddedHistory
WisdomTree Tr97717X669US QTLY DIV GRT8,265$524.8K<0.1%+2,053+33.0%Added–
PBAPembina Pipeline CorpCOM17,496$525.9K<0.1%+19+0.1%AddedHistory
WUWestern Union COStock39,976$526.9K<0.1%+39,976NewHistory
Innovator ETFs Trust45782C383US EQTY PWR BUF15,767$528.0K<0.1%−925−5.5%Reduced–
RCKTRocket Pharmaceuticals, Inc.COM25,780$528.2K<0.1%−307−1.2%ReducedHistory
FISVFiserv IncStock4,682$528.9K<0.1%+4,682NewHistory

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%–