Sigma Planning Corp

SEC CIK: 0001449126
Latest filing: Aug 7, 2026

SEC filings (opens in a new tab)

Holdings in Q4 2023

Holdings as of Dec 31, 2023, filed Feb 1, 2024. Long positions only; changes compare share counts with Q3 2023.

Positions: 840; −348 vs. Q3 2023
Portfolio value: $1.28B; −$1.39B (−52.1%) vs. Q3 2023
Filed: Feb 1, 2024; SEC

Holdings of Sigma Planning Corp in Q4 2023
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
SQFTWPresidio Property Trust, Inc.	*W EXP 01/24/202	10,218	$613	<0.1%	−4,897−32.4%	Reduced	History
STEXStreamex Corp.	COM NEW	15,000	$7.13K	<0.1%	−5,900−28.2%	Reduced	History
MBRXMoleculin Biotech, Inc.	COM	12,000	$10.3K	<0.1%	−5,000−29.4%	Reduced	History
PLGPlatinum Group Metals Ltd	COM	15,500	$17.7K	<0.1%	−3,000−16.2%	Reduced	History
DNNDenison Mines Corp.	COM	10,000	$17.7K	<0.1%	−9,500−48.7%	Reduced	History
EVGNEvogene Ltd.	SHS	23,087	$19.4K	<0.1%	−27,898−54.7%	Reduced	History
NKLANikola Corp	COM	26,659	$23.3K	<0.1%	−2,985−10.1%	Reduced	History
CHPTChargePoint Holdings, Inc.	COM CL A	13,973	$32.7K	<0.1%	+13,973	New	History
ACXPAcurx Pharmaceuticals, Inc.	COM	10,000	$38.3K	<0.1%	+10,000	New	History
OXSQOxford Square Capital Corp.	COM	13,525	$38.7K	<0.1%	−407−2.9%	Reduced	History
TPICQTpi Composites, Inc	COM	10,011	$41.4K	<0.1%	00.0%	Unchanged	History
RNTXRein Therapeutics, Inc.	COM NEW	16,580	$50.5K	<0.1%	+16,580	New	History
LTRNLantern Pharma Inc.	COM	11,875	$50.8K	<0.1%	−6,250−34.5%	Reduced	History
HLHecla Mining Co	COM	10,618	$51.1K	<0.1%	−9,269−46.6%	Reduced	History
AWPabrdn Global Premier Properties Fund	COM SH BEN INT	13,482	$52.3K	<0.1%	−2,698−16.7%	Reduced	History
CGTXCognition Therapeutics Inc	COM	28,550	$52.8K	<0.1%	+28,550	New	History
STEMStem, Inc.	CL A	13,775	$53.4K	<0.1%	−6,300−31.4%	Reduced	History
TSITCW Strategic Income Fund Inc	COM	11,861	$54.4K	<0.1%	−30,090−71.7%	Reduced	History
CDECoeur Mining, Inc.	COM NEW	16,950	$55.3K	<0.1%	−14,720−46.5%	Reduced	History
MTTRMatterport, Inc.	COM CL A	23,325	$62.7K	<0.1%	−15,283−39.6%	Reduced	History
SBSWSibanye Stillwater Ltd	SPONSORED ADR	12,106	$65.7K	<0.1%	−675−5.3%	Reduced	History
CIMChimera Investment Corp	COM NEW	13,356	$66.6K	<0.1%	−2,697−16.8%	Reduced	History
PDMPiedmont Realty Trust, Inc.	COM CL A	10,000	$71.1K	<0.1%	+10,000	New	History
AGFirst Majestic Silver Corp	COM	11,701	$72.0K	<0.1%	00.0%	Unchanged	History
PLUGPlug Power Inc	Stock	17,041	$76.7K	<0.1%	−4,835−22.1%	Reduced	History
MPTMedical Properties Trust Inc	COM	15,940	$78.3K	<0.1%	−19,502−55.0%	Reduced	History
ATOMAtomera Inc	COM	11,600	$81.3K	<0.1%	−15,150−56.6%	Reduced	History
RUMRUM Group Inc.	Stock	19,373	$87.0K	<0.1%	−4,968−20.4%	Reduced	History
FAXAbrdn Asia-Pacific Income Fund, Inc.	COM	32,690	$88.6K	<0.1%	−15,263−31.8%	Reduced	History
BYNDBeyond Meat, Inc.	COM	10,085	$89.8K	<0.1%	−135−1.3%	Reduced	History
CMLSQCumulus Media Inc	COM CL A	17,354	$92.3K	<0.1%	−20,751−54.5%	Reduced	History
ZIMZIM Integrated Shipping Services Ltd.	SHS	10,152	$100.2K	<0.1%	−9,644−48.7%	Reduced	History
First Tr MLP & Energy Incom33739B104	COM	12,466	$106.8K	<0.1%	+12,466	New	–
SCWO374Water Inc.	Common Stock	76,343	$108.4K	<0.1%	−13,900−15.4%	Reduced	History
SERSerina Therapeutics, Inc.	COM	286,425	$110.3K	<0.1%	+105,040+57.9%	Added	History
CRKComstock Resources Inc	COM	12,760	$112.9K	<0.1%	−442−3.3%	Reduced	History
NEANuveen AMT-Free Quality Municipal Income Fund	COM	11,052	$121.6K	<0.1%	−13,227−54.5%	Reduced	History
OXLCOxford Lane Capital Corp.	COM	25,480	$125.9K	<0.1%	−48,746−65.7%	Reduced	History
NIONIO Inc.	ADR	14,316	$129.8K	<0.1%	−36,328−71.7%	Reduced	History
First Tr Exchange-Traded FD33735T109	COMMON SHS	11,327	$136.7K	<0.1%	−2,034−15.2%	Reduced	–
GNLGlobal Net Lease, Inc.	COM NEW	13,892	$138.2K	<0.1%	−29,911−68.3%	Reduced	History
SOFISoFi Technologies, Inc.	Stock	13,993	$139.2K	<0.1%	−13,768−49.6%	Reduced	History
ETF Managers Tr26924G102	PRIME JUNIR SLVR	14,154	$141.5K	<0.1%	−8,724−38.1%	Reduced	–
First Tr Energy Income & Gro33738G104	COM	10,018	$145.1K	<0.1%	−17,628−63.8%	Reduced	–
CIKCredit Suisse Asset Management Income Fund, Inc.	COM	47,477	$148.6K	<0.1%	−47,284−49.9%	Reduced	History
Western Digital Corp958102AP0	NOTE 1.500% 2/0	–	$151.4K	<0.1%	–	–	–
PBRPetrobras - Petroleo Brasileiro SA	SPONSORED ADR	10,617	$169.5K	<0.1%	−15,505−59.4%	Reduced	History
DNPDNP Select Income Fund Inc	COM	20,017	$169.7K	<0.1%	−19,446−49.3%	Reduced	History
GFNew Germany Fund Inc	COM	19,447	$170.0K	<0.1%	+10.0%	Added	History
Prospect Cap Corp74348TAT9	NOTE 6.375% 3/0	–	$174.5K	<0.1%	–	–	–
GGNGAMCO Global Gold, Natural Resources & Income Trust	COM SH BEN INT	47,096	$177.1K	<0.1%	−33,399−41.5%	Reduced	History
INABIN8BIO, Inc.	COM	132,230	$182.5K	<0.1%	−152,820−53.6%	Reduced	History
PRPermian Resources Corp	CLASS A COM	13,560	$184.4K	<0.1%	+13,560	New	History
AMCRAmcor plc	ORD	19,737	$190.3K	<0.1%	−36,596−65.0%	Reduced	History
PTYPIMCO Corporate & Income Opportunity Fund	COM	14,429	$191.0K	<0.1%	−23,957−62.4%	Reduced	History
APTOAptose Biosciences Inc.	COM	75,477	$191.7K	<0.1%	−70,309−48.2%	Reduced	History
SPDR Series Trust78468R861	STATE STRET SPDR	10,429	$193.9K	<0.1%	−3,262−23.8%	Reduced	–
QUREuniQure N.V.	SHS	28,745	$194.6K	<0.1%	−30,510−51.5%	Reduced	History
SPHSuburban Propane Partners LP	UNIT LTD PARTN	11,017	$195.7K	<0.1%	−7,592−40.8%	Reduced	History
PFLTPennantPark Floating Rate Capital Ltd.	COM	16,204	$196.1K	<0.1%	−2,412−13.0%	Reduced	History
AWFAlliancebernstein Global High Income Fund Inc	COM	19,419	$196.5K	<0.1%	+6,538+50.8%	Added	History
MSCIMSCI Inc.	Stock	358	$202.3K	<0.1%	−257−41.8%	Reduced	History
PBIPitney Bowes Inc	COM	46,106	$202.9K	<0.1%	−48,303−51.2%	Reduced	History
WTRGEssential Utilities, Inc.	COM	5,442	$203.3K	<0.1%	−3,335−38.0%	Reduced	History
WECWec Energy Group, Inc.	Stock	2,426	$204.2K	<0.1%	−3,231−57.1%	Reduced	History
DINOHF Sinclair Corp	COM	3,685	$204.8K	<0.1%	−3,701−50.1%	Reduced	History
RIORio Tinto PLC	ADR	2,752	$204.9K	<0.1%	−3,636−56.9%	Reduced	History
MTBM&T Bank Corp	COM	1,512	$207.2K	<0.1%	−862−36.3%	Reduced	History
First Tr Exchange-Traded Alp33735K108	COM SHS	1,896	$207.8K	<0.1%	−5,294−73.6%	Reduced	–
UTLUnitil Corp	COM	3,956	$207.9K	<0.1%	+3,956	New	History
GWWW.W. Grainger, Inc.	Stock	251	$208.2K	<0.1%	−382−60.3%	Reduced	History
ZTRVirtus Total Return Fund Inc.	COM	37,805	$208.3K	<0.1%	−65,504−63.4%	Reduced	History
PNRPENTAIR plc	SHS	2,886	$209.8K	<0.1%	−5,539−65.7%	Reduced	History
GDVGabelli Dividend & Income Trust	COM	9,735	$210.7K	<0.1%	−16,093−62.3%	Reduced	History
ONOn Semiconductor Corp	Stock	2,523	$210.8K	<0.1%	−5,535−68.7%	Reduced	History
Vanguard Consumer Staples ETF92204A207	ETF	1,104	$210.8K	<0.1%	−2,628−70.4%	Reduced	–
Innovator ETFs Trust45782C573	US EQTY PWR BUF	6,133	$211.2K	<0.1%	+6,133	New	–
First Tr Exchng Traded FD VI33740U778	VEST BUFFERED	9,930	$211.3K	<0.1%	−29,852−75.0%	Reduced	–
TXTTextron Inc	COM	2,633	$211.8K	<0.1%	−3,945−60.0%	Reduced	History
ZIONZions Bancorporation, National Association	COM	4,860	$213.2K	<0.1%	−9,253−65.6%	Reduced	History
Global X FDS37954Y343	GLBL X MLP ETF	4,815	$213.3K	<0.1%	−8,676−64.3%	Reduced	–
Vanguard Admiral FDS Inc921932794	SMLCP 600 GRTH	1,990	$214.2K	<0.1%	−2,069−51.0%	Reduced	–
CCJCameco Corp	Stock	5,002	$215.6K	<0.1%	−2,998−37.5%	Reduced	History
First Tr Exchange Traded FD33738R662	INTL DEV STRNGTH	6,389	$215.6K	<0.1%	−16,215−71.7%	Reduced	–
HUBBHubbell Inc	COM	656	$215.6K	<0.1%	−1,104−62.7%	Reduced	History
Fidelity MSCI Materials Index ETF316092881	ETF	4,459	$217.3K	<0.1%	−7,827−63.7%	Reduced	–
TMUST-Mobile US, Inc.	Stock	1,357	$217.6K	<0.1%	−4,846−78.1%	Reduced	History
GMGeneral Motors Co	COM	6,069	$218.0K	<0.1%	−12,454−67.2%	Reduced	History
PSAPublic Storage	COM	716	$218.3K	<0.1%	−175−19.6%	Reduced	History
Fidelity Covington Trust316092790	QLTY FCTOR ETF	4,024	$218.7K	<0.1%	−3,982−49.7%	Reduced	–
iShares Tr464288851	US OIL GS EX ETF	2,360	$219.9K	<0.1%	−1,882−44.4%	Reduced	–
LNTAlliant Energy Corp	Stock	4,287	$219.9K	<0.1%	−1,063−19.9%	Reduced	History
IVTInvenTrust Properties Corp.	COM NEW	8,684	$220.1K	<0.1%	−9,897−53.3%	Reduced	History
Schwab Intermediate-Term US Treasury ETF808524854	ETF	4,444	$221.0K	<0.1%	−8,996−66.9%	Reduced	–
Invesco Exchange Traded FD T46137V456	S&P MDCP VLU MNT	4,395	$221.2K	<0.1%	−5,556−55.8%	Reduced	–
Vanguard Communication Services ETF92204A884	ETF	1,882	$221.5K	<0.1%	−2,791−59.7%	Reduced	–
RIOTRiot Platforms, Inc.	COM	14,348	$222.0K	<0.1%	−9,633−40.2%	Reduced	History
WMBWilliams Companies, Inc.	COM	6,379	$222.2K	<0.1%	−25,878−80.2%	Reduced	History
Global X FDS37954Y459	RUSSELL 2000	13,286	$222.4K	<0.1%	−20,678−60.9%	Reduced	–
Invesco Exchange Traded FD T46137V548	INTL DIVI ACHI	12,072	$222.8K	<0.1%	−12,731−51.3%	Reduced	–

Options (6)

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 Q4 2023
Security	Class	Puts	Calls
NWLNewell Brands Inc.	Stock	$9.31K	–
PBIPitney Bowes Inc	COM	$4.90K	–
TUPTupperware Brands Corp	COM	$3.69K	–
GNWGenworth Financial Inc	COM SHS	$3.01K	–
NOKNokia Corp	SPONSORED ADR	$1.85K	–
UBSUBS Group AG	Stock	–	$250

Sold out since Q3 2023 (381)

Positions held at the end of Q3 2023 that are gone from this filing.

The largest 100 of 381 by value last quarter.

Positions of Sigma Planning Corp sold out since Q3 2023
Security	Class	Shares in Q3 2023	Value in Q3 2023	% of portfolio in Q3 2023	History
Innovator ETFs Trust45783Y723	POWER BUFFER SET	191,031	$5.09M	0.2%	–
iShares Tr46432F859	CORE 1 5 YR USD	87,727	$4.07M	0.2%	–
iShares Inc464286525	MSCI GBL MIN VOL	37,544	$3.58M	0.1%	–
First Tr Exchange Traded FD33734X143	HLTH CARE ALPH	33,606	$3.27M	0.1%	–
Invesco Exchange Traded FD T46137V886	DWA STAPLES	37,451	$3.13M	0.1%	–
Invesco Exch TRD SLF Idx FD46138J866	BULSHS 2023 CB	139,844	$2.97M	0.1%	–
First Tr Exch Traded FD III33739P871	HORIZON MNGD ETF	98,648	$2.66M	0.1%	–
State Street SPDR S&P Semiconductor ETF78464A862	ETF	13,366	$2.62M	0.1%	–
CXMSprinklr, Inc.	CL A	188,136	$2.60M	0.1%	History
iShares Tr46436E882	IBONDS 23 TRM TS	95,414	$2.37M	0.1%	–
CEQPCrestwood Equity Partners LP	UNIT LTD PARTNER	52,502	$1.54M	0.1%	History
iShares Tr46434VAX8	IBONDS DEC23 ETF	55,668	$1.41M	0.1%	–
First Tr Exchange Trad FD VI33739H101	FST TR GLB FD	52,033	$1.25M	<0.1%	–
Invesco Exch TRD SLF Idx FD46138J858	BULSHS 2023 HY	50,650	$1.19M	<0.1%	–
iShares Tr464288653	10-20 YR TRS ETF	11,899	$1.17M	<0.1%	–
Invesco Exch TRD SLF Idx FD46138J817	BULSHS 2025 HY	49,045	$1.10M	<0.1%	–
Invesco Exch TRD SLF Idx FD46138J833	BULSHS 2024 HY	48,969	$1.10M	<0.1%	–
Invesco Exch TRD SLF Idx FD46138J635	INVSCO BLSH 26	46,088	$1.04M	<0.1%	–
WisdomTree Tr97717W109	US TOTAL DIVIDND	15,825	$952.2K	<0.1%	–
VMWVmware LLC	CL A COM	5,598	$932.1K	<0.1%	History
DBAInvesco DB Agriculture Fund	AGRICULTURE FD	43,392	$929.0K	<0.1%	History
DBPInvesco DB Precious Metals Fund	PRECIOUS METAL	19,231	$913.1K	<0.1%	History
Exchange Traded Concepts Tr301505749	VSPR US LC ETF	38,885	$893.7K	<0.1%	–
TTTrane Technologies plc	SHS	4,289	$870.3K	<0.1%	History
DTMDT Midstream, Inc.	COMMON STOCK	16,343	$864.9K	<0.1%	History
JXNJackson Financial Inc.	COM CL A	22,378	$855.3K	<0.1%	History
Invesco Exch Traded FD Tr II46138G508	SR LN ETF	39,327	$825.5K	<0.1%	–
BWABorgwarner Inc	COM	20,121	$812.3K	<0.1%	History
CHICalamos Convertible Opportunities & Income Fund	SH BEN INT	74,878	$789.2K	<0.1%	History
iShares Tr46435U150	IBONDS 23 TRM HG	33,232	$785.6K	<0.1%	–
SPDR Series Trust78464A805	ST STR PR SP1500	14,532	$762.8K	<0.1%	–
SPLKSplunk Inc	COM	5,208	$761.7K	<0.1%	History
Vanguard Scottsdale FDS92206C649	VNG RUS2000VAL	6,192	$739.3K	<0.1%	–
BCBrunswick Corp	COM	9,311	$735.6K	<0.1%	History
MASMasco Corp	COM	13,699	$732.2K	<0.1%	History
HPQHP Inc	Stock	28,079	$721.6K	<0.1%	History
PECOPhillips Edison & Company, Inc.	COMMON STOCK	21,467	$720.0K	<0.1%	History
Global X FDS37954Y632	ARTIFICIAL ETF	26,168	$704.2K	<0.1%	–
Dimensional ETF Trust25434V815	US SMALL CAP ETF	27,370	$693.6K	<0.1%	–
Schwab Emerging Markets Equity ETF808524706	ETF	28,721	$687.6K	<0.1%	–
ARCHArch Resources, Inc.	CL A	3,916	$668.4K	<0.1%	History
iShares U.S. Treasury Bond ETF46429B267	ETF	28,723	$633.1K	<0.1%	–
BF.BBrown Forman Corp	Stock	10,952	$631.8K	<0.1%	History
Dimensional ETF Trust25434V740	EMERGING MKTS VA	26,558	$628.6K	<0.1%	–
Global X FDS37954Y715	RBTCS ARTFL INTE	25,189	$622.7K	<0.1%	–
RBB FD Inc74933W452	F/M US TREASURY	12,413	$621.5K	<0.1%	–
Vanguard Scottsdale FDS92206C813	LG-TERM COR BD	8,635	$618.5K	<0.1%	–
QQQXNuveen NASDAQ 100 Dynamic Overwrite Fund	COM SHS	27,424	$616.2K	<0.1%	History
iShares Inc46434G822	MSCI JAPAN ETF	10,205	$615.3K	<0.1%	–
Innovator ETFs Trust45782C334	GRWT100 PWR BF	14,254	$596.1K	<0.1%	–
HIGHartford Insurance Group, Inc.	Stock	8,366	$593.3K	<0.1%	History
Janus Detroit STR Tr47103U886	HENDRSN SHRT ETF	12,320	$591.0K	<0.1%	–
NUSNu Skin Enterprises, Inc.	CL A	27,792	$589.5K	<0.1%	History
SPDR Series Trust78468R804	ST STR R1K LOWV	4,308	$575.3K	<0.1%	–
Vanguard Consumer Discretionary ETF92204A108	ETF	2,121	$571.5K	<0.1%	–
Invesco Exch TRD SLF Idx FD46138J742	RAFI STRATGIC US	14,297	$569.5K	<0.1%	–
VEEVVeeva Systems Inc	Stock	2,792	$568.0K	<0.1%	History
VMIValmont Industries Inc	COM	2,348	$564.1K	<0.1%	History
LZBLa-Z-Boy Inc	COM	18,253	$563.7K	<0.1%	History
HOLXHologic Inc	COM	7,973	$553.3K	<0.1%	History
iShares Tr46435U374	MSCI JP VALUE	19,291	$550.8K	<0.1%	–
LIVELive Ventures Inc	COM NEW	19,229	$544.0K	<0.1%	History
CMGChipotle Mexican Grill Inc	COM	296	$543.5K	<0.1%	History
Invesco Exchange Traded FD T46137V464	S&P MDCP MOMNTUM	6,735	$542.3K	<0.1%	–
IMOImperial Oil Ltd	COM NEW	8,450	$520.5K	<0.1%	History
BFHBread Financial Holdings, Inc.	COM	15,171	$518.9K	<0.1%	History
Innovator ETFs Trust45782C755	US EQTY BUFR JUN	15,794	$518.4K	<0.1%	–
USBUS Bancorp DE	COM NEW	15,621	$516.5K	<0.1%	History
HRLHormel Foods Corp	COM	13,368	$508.4K	<0.1%	History
HUNHuntsman CORP	COM	20,738	$506.0K	<0.1%	History
UNMUnum Group	Stock	10,276	$505.5K	<0.1%	History
iShares Tr464288281	JPMORGAN USD EMG	6,072	$501.1K	<0.1%	–
SPDR Series Trust78468R622	ST BLOO HIGH ETF	5,514	$498.5K	<0.1%	–
INTUIntuit Inc.	Stock	972	$496.9K	<0.1%	History
CHDChurch & Dwight Co Inc	COM	5,418	$496.5K	<0.1%	History
SWKSSkyworks Solutions, Inc.	Stock	5,008	$493.8K	<0.1%	History
Vanguard Morningstar Small-Cap Growth ETF922908595	ETF	2,297	$492.1K	<0.1%	–
SPDR Series Trust78468R556	SP O&G EXPL PRO	3,285	$485.9K	<0.1%	–
ILMNIllumina, Inc.	COM	3,539	$485.9K	<0.1%	History
First Tr Exchange-Traded Alp33735B108	COM SHS	5,263	$484.8K	<0.1%	–
Vanguard Mun BD FDS922907746	TAX EXEMPT BD	9,944	$478.3K	<0.1%	–
iShares Tr464288448	INTL SEL DIV ETF	18,779	$477.0K	<0.1%	–
LEGLeggett & Platt Inc	Stock	18,587	$472.3K	<0.1%	History
WORWorthington Enterprises, Inc.	COM	7,445	$460.3K	<0.1%	History
CPECallon Petroleum Co	COM	11,761	$460.1K	<0.1%	History
CASHPathward Financial, Inc.	COM	9,975	$459.8K	<0.1%	History
FTNTFortinet, Inc.	Stock	7,823	$459.1K	<0.1%	History
SBLKStar Bulk Carriers Corp.	SHS PAR	23,674	$456.4K	<0.1%	History
JBHTHunt J B Transport Services Inc	COM	2,388	$450.2K	<0.1%	History
FASTFastenal Co	Stock	8,165	$446.2K	<0.1%	History
CPCanadian Pacific Kansas City Ltd	COM	5,977	$444.8K	<0.1%	History
ADIAnalog Devices Inc	Stock	2,540	$444.7K	<0.1%	History
AGNTAGNT, Inc.	COM	27,340	$444.0K	<0.1%	History
GLPIGaming & Leisure Properties, Inc.	COM	9,677	$440.8K	<0.1%	History
MRSHMarsh & McLennan Companies, Inc.	Stock	2,308	$439.4K	<0.1%	History
iShares Tr464287234	MSCI EMG MKT ETF	11,408	$433.0K	<0.1%	–
BCSFBain Capital Specialty Finance, Inc.	COM STK	27,730	$424.6K	<0.1%	History
Innovator ETFs Trust45782C367	INTRNL DEV APRL	17,543	$423.6K	<0.1%	–
iShares Tr46432F388	MSCI USA VALUE	4,641	$421.1K	<0.1%	–
iShares Tr464288372	GLB INFRASTR ETF	9,706	$420.2K	<0.1%	–