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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 S&P 500 Quality ETF46137V241ETF10,585$529.7K<0.1%+1,321+14.3%Added–
NETCloudflare, Inc.CL A COM8,419$530.8K<0.1%−733−8.0%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J460INVSCO 30 CORP34,395$535.9K<0.1%+400+1.2%Added–
CAHCardinal Health IncStock6,204$538.7K<0.1%−64−1.0%ReducedHistory
BSXBoston Scientific CorpStock10,213$539.3K<0.1%+746+7.9%AddedHistory
NNNNNN REIT, Inc.REIT15,277$539.9K<0.1%+131+0.9%AddedHistory
NSCNorfolk Southern CorpStock2,741$539.9K<0.1%−105−3.7%ReducedHistory
iShares Tr464288562RESIDENTIAL MULT8,196$540.6K<0.1%−691−7.8%Reduced–
Invesco Exchange Traded FD T46137V464S&P MDCP MOMNTUM6,735$542.3K<0.1%−632−8.6%Reduced–
Fidelity MSCI Materials Index ETF316092881ETF12,286$543.0K<0.1%−19,220−61.0%Reduced–
CMGChipotle Mexican Grill IncCOM296$543.5K<0.1%−1,566−84.1%ReducedHistory
LIVELive Ventures IncCOM NEW19,229$544.0K<0.1%+790+4.3%AddedHistory
LHXL3HARRIS Technologies, Inc.Stock3,124$544.0K<0.1%−14−0.4%ReducedHistory
RABrookfield Real Assets Income Fund Inc.SHS BEN INT44,448$544.5K<0.1%+323+0.7%AddedHistory
State Street Real Estate Select Sector SPDR ETF81369Y860ETF16,010$545.5K<0.1%−5,554−25.8%Reduced–
PNRPENTAIR plcSHS8,425$545.6K<0.1%−1,205−12.5%ReducedHistory
NICENICE Ltd.SPONSORED ADR3,219$547.2K<0.1%−24−0.7%ReducedHistory
Innovator U.S. Equity Power Buffer ETF - September45782C656ETF16,904$547.7K<0.1%+6,732+66.2%Added–
CTVACorteva, Inc.Stock10,715$548.2K<0.1%−815−7.1%ReducedHistory
Innovator ETFs Trust45782C698US EQUT BUFR AUG16,643$549.4K<0.1%+196+1.2%Added–
iShares Tr46435U374MSCI JP VALUE19,291$550.8K<0.1%+19,291New–
HUBBHubbell IncCOM1,760$551.8K<0.1%−26−1.5%ReducedHistory
HALHalliburton CoStock13,627$551.9K<0.1%−3,142−18.7%ReducedHistory
WBAWalgreens Boots Alliance, Inc.COM24,840$552.4K<0.1%−28,370−53.3%ReducedHistory
HOLXHologic IncCOM7,973$553.3K<0.1%−126−1.6%ReducedHistory
iShares Tr464287739U.S. REAL ES ETF7,105$555.2K<0.1%−2,685−27.4%Reduced–
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX6,426$561.7K<0.1%+6,426New–
PSECProspect Capital CorpCOM92,839$561.7K<0.1%+7,006+8.2%AddedHistory
CUECue Biopharma, Inc.COM244,705$562.8K<0.1%+19,405+8.6%AddedHistory
LZBLa-Z-Boy IncCOM18,253$563.7K<0.1%−40.0%ReducedHistory
VMIValmont Industries IncCOM2,348$564.1K<0.1%+2+0.1%AddedHistory
SCMStellus Capital Investment CorpCOM41,494$564.3K<0.1%+12,066+41.0%AddedHistory
ALLAllstate CorpStock5,068$564.7K<0.1%−303−5.6%ReducedHistory
iShares Tr464287119MORNINGSTAR GRWT9,489$566.0K<0.1%−25−0.3%Reduced–
Alps ETF Tr00162Q395OSHARES US SMLCP16,134$566.5K<0.1%+1,448+9.9%Added–
RGNXREGENXBIO Inc.COM34,441$566.9K<0.1%−150.0%ReducedHistory
SNPSSynopsys IncCOM1,236$567.3K<0.1%+249+25.2%AddedHistory
VEEVVeeva Systems IncStock2,792$568.0K<0.1%+245+9.6%AddedHistory
iShares Tr464288752US HOME CONS ETF7,241$568.4K<0.1%+581+8.7%Added–
Invesco Exch TRD SLF Idx FD46138J742RAFI STRATGIC US14,297$569.5K<0.1%+14,297New–
J P Morgan Exchange Traded F46641Q670CORE PLUS BD ETF12,752$569.6K<0.1%−2,619−17.0%Reduced–
Vanguard Consumer Discretionary ETF92204A108ETF2,121$571.5K<0.1%−707−25.0%Reduced–
SPDR Series Trust78468R804ST STR R1K LOWV4,308$575.3K<0.1%+4,308New–
Global X FDS37954Y459RUSSELL 200033,964$579.4K<0.1%+5,478+19.2%Added–
Northern LTS FD Tr IV66538H591MAIN SECTR ROTN13,877$584.1K<0.1%+3,050+28.2%Added–
TSCOTractor Supply CoCOM2,878$584.4K<0.1%−210−6.8%ReducedHistory
EPREpr PropertiesCOM SH BEN INT14,069$584.4K<0.1%−1,956−12.2%ReducedHistory
Vanguard Mortgage-Backed Securities ETF92206C771ETF13,408$587.0K<0.1%+7,063+111.3%Added–
NUSNu Skin Enterprises, Inc.CL A27,792$589.5K<0.1%+10.0%AddedHistory
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF12,320$591.0K<0.1%+7,500+155.6%Added–
iShares Tr464288257MSCI ACWI ETF6,405$591.7K<0.1%−2,858−30.9%Reduced–
ESSEssex Property Trust, Inc.COM2,795$593.0K<0.1%−14−0.5%ReducedHistory
HIGHartford Insurance Group, Inc.Stock8,366$593.3K<0.1%+77+0.9%AddedHistory
RFICohen & Steers Total Return Realty Fund IncCOM56,788$595.1K<0.1%+308+0.5%AddedHistory
Innovator ETFs Trust45782C334GRWT100 PWR BF14,254$596.1K<0.1%−2,555−15.2%Reduced–
OFSOFS Capital CorpCOM53,124$597.1K<0.1%−497−0.9%ReducedHistory
Bondbloxx ETF Trust09789C853BLOOMBERG TWO YR12,222$597.7K<0.1%+7,706+170.6%Added–
KEYKeycorpCOM55,632$598.6K<0.1%+2,839+5.4%AddedHistory
Global X FDS37954Y343GLBL X MLP ETF13,491$601.6K<0.1%+159+1.2%Added–
DEODiageo PLCSPON ADR NEW4,042$603.1K<0.1%−569−12.3%ReducedHistory
ABNBAirbnb, Inc.Stock4,403$604.2K<0.1%−1,160−20.9%ReducedHistory
LQDALiquidia CorpCOM NEW95,640$606.4K<0.1%+4,885+5.4%AddedHistory
CICigna GroupStock2,134$610.5K<0.1%−126−5.6%ReducedHistory
GMGeneral Motors CoCOM18,523$610.7K<0.1%−209−1.1%ReducedHistory
First Tr Exchng Traded FD VI33740U703FT VEST DEEP ETF28,817$612.4K<0.1%+3,356+13.2%Added–
UTGReaves Utility Income FundCOM SH BEN INT24,862$612.9K<0.1%+370+1.5%AddedHistory
LULUlululemon athletica inc.Stock1,590$613.3K<0.1%−31−1.9%ReducedHistory
iShares Inc46434G822MSCI JAPAN ETF10,205$615.3K<0.1%+10,205New–
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS27,424$616.2K<0.1%−1,074−3.8%ReducedHistory
iShares Tr464287291GLOBAL TECH ETF10,692$618.4K<0.1%−812−7.1%Reduced–
Vanguard Scottsdale FDS92206C813LG-TERM COR BD8,635$618.5K<0.1%−301−3.4%Reduced–
RBB FD Inc74933W452F/M US TREASURY12,413$621.5K<0.1%+12,413New–
Fidelity High Dividend ETF316092840ETF16,123$622.2K<0.1%+455+2.9%Added–
Global X FDS37954Y715RBTCS ARTFL INTE25,189$622.7K<0.1%−1,743−6.5%Reduced–
EXCExelon CorpStock16,540$625.1K<0.1%+385+2.4%AddedHistory
Global X Lithium & Battery Tech ETF37954Y855ETF11,374$627.5K<0.1%−4,805−29.7%Reduced–
IDXXIDEXX Laboratories IncCOM1,436$627.9K<0.1%+147+11.4%AddedHistory
iShares Tr464287697U.S. UTILITS ETF8,534$628.0K<0.1%−2,205−20.5%Reduced–
Dimensional ETF Trust25434V740EMERGING MKTS VA26,558$628.6K<0.1%+10,245+62.8%Added–
BF.BBrown Forman CorpStock10,952$631.8K<0.1%−72−0.7%ReducedHistory
CEGConstellation Energy CorpStock5,800$632.8K<0.1%−169−2.8%ReducedHistory
iShares U.S. Treasury Bond ETF46429B267ETF28,723$633.1K<0.1%−19,275−40.2%Reduced–
ECPGEncore Capital Group IncCOM13,302$635.3K<0.1%+756+6.0%AddedHistory
HSYHershey CoCOM3,211$642.5K<0.1%−422−11.6%ReducedHistory
Schwab Intermediate-Term US Treasury ETF808524854ETF13,440$644.3K<0.1%−213−1.6%Reduced–
XUnited States Steel CorpCOM20,060$651.6K<0.1%−5,513−21.6%ReducedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF17,789$656.4K<0.1%−1,885−9.6%Reduced–
ZBHZimmer Biomet Holdings, Inc.Stock5,850$656.5K<0.1%+1,578+36.9%AddedHistory
State Street SPDR S&P 600 Small Cap Value ETF78464A300ETF9,138$661.4K<0.1%−14−0.2%Reduced–
JFRNuveen Floating Rate Income FundCOM81,196$666.6K<0.1%+53,459+192.7%AddedHistory
WisdomTree Tr97717W604US SMALLCAP DIVD23,642$666.7K<0.1%−897−3.7%Reduced–
ARCHArch Resources, Inc.CL A3,916$668.4K<0.1%+12+0.3%AddedHistory
XYZBlock, Inc.CL A15,163$671.1K<0.1%−733−4.6%ReducedHistory
FANGDiamondback Energy, Inc.Stock4,363$675.8K<0.1%+1,724+65.3%AddedHistory
SPDR Series Trust78464A201ST STR SP600GRWO9,238$676.9K<0.1%+652+7.6%Added–
AMAntero Midstream CorpStock56,572$677.7K<0.1%−2,067−3.5%ReducedHistory
First Tr Exchange Traded FD33738R662INTL DEV STRNGTH22,604$679.3K<0.1%−189−0.8%Reduced–
Vanguard Consumer Staples ETF92204A207ETF3,732$681.9K<0.1%−584−13.5%Reduced–
SPGIS&P Global Inc.Stock1,874$685.0K<0.1%+144+8.3%AddedHistory
Schwab Emerging Markets Equity ETF808524706ETF28,721$687.6K<0.1%−65−0.2%Reduced–

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%–