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
RGNXREGENXBIO Inc.	COM	12,430	$223.1K	<0.1%	−22,011−63.9%	Reduced	History
AMAntero Midstream Corp	Stock	17,836	$223.5K	<0.1%	−38,736−68.5%	Reduced	History
iShares Tr46434V381	FUTU EXPO TE ETF	3,739	$223.8K	<0.1%	−837−18.3%	Reduced	–
GPCGenuine Parts Co	Stock	1,617	$224.0K	<0.1%	−1,991−55.2%	Reduced	History
SQMChemical & Mining Co of Chile Inc	SPON ADR SER B	3,730	$224.6K	<0.1%	−8,077−68.4%	Reduced	History
APOApollo Global Management, Inc.	COM	2,412	$224.8K	<0.1%	+2,412	New	History
CORCencora, Inc.	Stock	1,100	$225.8K	<0.1%	−914−45.4%	Reduced	History
Dimensional ETF Trust25434V872	CORE FIXE IN ETF	5,352	$226.9K	<0.1%	−6,365−54.3%	Reduced	–
HCAHCA Healthcare, Inc.	COM	838	$226.9K	<0.1%	+838	New	History
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853	ETF	5,384	$227.1K	<0.1%	−12,405−69.7%	Reduced	–
FITBFifth Third Bancorp	COM	6,621	$228.3K	<0.1%	−8,233−55.4%	Reduced	History
Invesco Exch Traded FD Tr II46138E263	S&P GBL WATER	4,308	$228.3K	<0.1%	−6,539−60.3%	Reduced	–
GXOGXO Logistics, Inc.	Stock	3,734	$228.4K	<0.1%	−4,232−53.1%	Reduced	History
GSLGlobal Ship Lease, Inc.	COM CL A	11,544	$228.8K	<0.1%	−13,025−53.0%	Reduced	History
COINCoinbase Global, Inc.	COM CL A	1,316	$228.8K	<0.1%	+1,316	New	History
Vanguard Admiral FDS Inc921932828	SMLLCP 600 IDX	2,308	$228.9K	<0.1%	−4,118−64.1%	Reduced	–
STNEStoneCo Ltd.	COM	12,700	$229.0K	<0.1%	−19,025−60.0%	Reduced	History
Vanguard Morningstar Mid-Cap Growth ETF922908538	ETF	1,043	$229.1K	<0.1%	−4,357−80.7%	Reduced	–
Amplify ETF Tr032108409	CWP ENHANCED DIV	6,298	$230.2K	<0.1%	−4,952−44.0%	Reduced	–
BSXBoston Scientific Corp	Stock	3,991	$230.7K	<0.1%	−6,222−60.9%	Reduced	History
GNRCGenerac Holdings Inc.	Stock	1,790	$231.3K	<0.1%	−2,319−56.4%	Reduced	History
BRBroadridge Financial Solutions, Inc.	Stock	1,125	$231.4K	<0.1%	−814−42.0%	Reduced	History
BEPCBrookfield Renewable Corp	CL A SUB VTG	8,061	$232.1K	<0.1%	−8,587−51.6%	Reduced	History
J P Morgan Exchange Traded F46641Q761	US QUALTY FCTR	4,885	$233.8K	<0.1%	+4,885	New	–
CICigna Group	Stock	783	$234.6K	<0.1%	−1,351−63.3%	Reduced	History
ARMKAramark	COM	8,356	$234.8K	<0.1%	−828−9.0%	Reduced	History
FLNGFlex LNG Ltd.	SHS	8,100	$235.4K	<0.1%	−7,008−46.4%	Reduced	History
Innovator U.S. Equity Power Buffer ETF - September45782C656	ETF	6,777	$235.6K	<0.1%	−10,127−59.9%	Reduced	–
Janus Detroit STR Tr47103U845	HENDRSON AAA CL	4,687	$235.8K	<0.1%	−25,020−84.2%	Reduced	–
SSentinelOne, Inc.	CL A	8,600	$236.0K	<0.1%	+8,600	New	History
CROXCrocs, Inc.	COM	2,532	$236.5K	<0.1%	−1,961−43.6%	Reduced	History
First Trust Nasdaq-100 Technology Sector Index Fund337345102	ETF	1,356	$238.0K	<0.1%	−497−26.8%	Reduced	–
NVSNovartis AG	ADR	2,362	$238.4K	<0.1%	−4,754−66.8%	Reduced	History
BTIBritish American Tobacco p.l.c.	SPONSORED ADR	8,149	$238.7K	<0.1%	−26,055−76.2%	Reduced	History
Innovator ETFs Trust45782C409	US EQTY BUFR JAN	5,850	$239.0K	<0.1%	−1,599−21.5%	Reduced	–
iShares Inc464286475	EM MKT SM-CP ETF	4,154	$240.2K	<0.1%	−2,800−40.3%	Reduced	–
CTASCintas Corp	Stock	399	$240.3K	<0.1%	−299−42.8%	Reduced	History
iShares Tr46435U713	US INFRASTRUC	5,973	$240.5K	<0.1%	−13,254−68.9%	Reduced	–
First Tr Exchange-Traded Alp33737M102	MID CP GR ALPH	3,537	$241.0K	<0.1%	−2,905−45.1%	Reduced	–
First Tr Exchng Traded FD VI33740U703	FT VEST DEEP ETF	10,643	$241.6K	<0.1%	−18,174−63.1%	Reduced	–
iShares Tr464287630	RUS 2000 VAL ETF	1,564	$242.9K	<0.1%	−8,607−84.6%	Reduced	–
LRNStride, Inc.	COM	4,100	$243.4K	<0.1%	−3,100−43.1%	Reduced	History
XRXXerox Holdings Corp	COM NEW	13,343	$244.6K	<0.1%	+3,329+33.2%	Added	History
DEODiageo PLC	SPON ADR NEW	1,690	$246.2K	<0.1%	−2,352−58.2%	Reduced	History
Alps ETF Tr00162Q387	OSHARES US QUALT	5,345	$246.3K	<0.1%	−5,994−52.9%	Reduced	–
DGXQuest Diagnostics Inc	COM	1,795	$247.5K	<0.1%	−5,990−76.9%	Reduced	History
ECPGEncore Capital Group Inc	COM	4,880	$247.6K	<0.1%	−8,422−63.3%	Reduced	History
iShares Tr464288257	MSCI ACWI ETF	2,437	$248.0K	<0.1%	−3,968−62.0%	Reduced	–
QSRRestaurant Brands International Inc.	COM	3,174	$248.0K	<0.1%	−4,626−59.3%	Reduced	History
First Tr Exchng Traded FD VI33740F334	FT VEST U.S.	7,906	$248.4K	<0.1%	+7,906	New	–
IIPRInnovative Industrial Properties Inc	COM	2,465	$248.5K	<0.1%	−4,457−64.4%	Reduced	History
iShares Tr464288273	EAFE SML CP ETF	4,044	$250.3K	<0.1%	−3,478−46.2%	Reduced	–
MFICMidCap Financial Investment Corp	COM NEW	18,334	$250.8K	<0.1%	−32,136−63.7%	Reduced	History
SYNASYNAPTICS Inc	Stock	2,200	$251.0K	<0.1%	−174−7.3%	Reduced	History
ASMLASML Holding NV	ADR	332	$251.0K	<0.1%	−146−30.5%	Reduced	History
COFCapital One Financial Corp	Stock	1,915	$251.1K	<0.1%	−664−25.7%	Reduced	History
WUWestern Union CO	Stock	21,355	$254.6K	<0.1%	−18,621−46.6%	Reduced	History
EPREpr Properties	COM SH BEN INT	5,255	$254.6K	<0.1%	−8,814−62.6%	Reduced	History
POOLPool Corp	COM	641	$255.5K	<0.1%	−802−55.6%	Reduced	History
SLVMSylvamo Corp	COMMON STOCK	5,206	$255.7K	<0.1%	−231−4.2%	Reduced	History
PHParker-Hannifin Corp	Stock	556	$256.1K	<0.1%	−255−31.4%	Reduced	History
WNCWabash National Corp	COM	10,000	$256.2K	<0.1%	−10−0.1%	Reduced	History
RIVRivernorth Opportunities Fund, Inc.	COM	23,331	$256.4K	<0.1%	−18,815−44.6%	Reduced	History
State Street SPDR Portfolio S&P 500 Growth ETF78464A409	ETF	3,969	$258.3K	<0.1%	−8,684−68.6%	Reduced	–
LULUlululemon athletica inc.	Stock	507	$259.2K	<0.1%	−1,083−68.1%	Reduced	History
iShares Tr464288703	MRNING SM CP ETF	4,401	$260.6K	<0.1%	−51−1.1%	Reduced	–
iShares Tr464287739	U.S. REAL ES ETF	2,853	$260.8K	<0.1%	−4,252−59.8%	Reduced	–
LENLennar Corp	CL A	1,754	$261.5K	<0.1%	−2,608−59.8%	Reduced	History
ALLAllstate Corp	Stock	1,882	$263.5K	<0.1%	−3,186−62.9%	Reduced	History
SKTTanger Inc.	COM	9,511	$263.7K	<0.1%	−8,145−46.1%	Reduced	History
DOCUDocuSign, Inc.	Stock	4,462	$265.3K	<0.1%	−849−16.0%	Reduced	History
IDCCInterDigital, Inc.	COM	2,449	$265.8K	<0.1%	−3,653−59.9%	Reduced	History
IRMIron Mountain Inc	COM	3,809	$266.6K	<0.1%	−3,667−49.1%	Reduced	History
SPDR Series Trust78464A201	ST STR SP600GRWO	3,212	$268.6K	<0.1%	−6,026−65.2%	Reduced	–
ETSYEtsy Inc	COM	3,317	$268.8K	<0.1%	−656−16.5%	Reduced	History
ETF Managers Tr26924G201	PRIME CYBR SCRTY	4,463	$269.6K	<0.1%	−4,761−51.6%	Reduced	–
FISVFiserv Inc	Stock	2,032	$269.9K	<0.1%	−2,650−56.6%	Reduced	History
ZBHZimmer Biomet Holdings, Inc.	Stock	2,230	$271.3K	<0.1%	−3,620−61.9%	Reduced	History
MURMurphy Oil Corp	COM	6,370	$271.7K	<0.1%	−300−4.5%	Reduced	History
iShares Ibonds Dec 2025 Term Corporate ETF46434VBD1	ETF	11,005	$272.5K	<0.1%	−27,405−71.3%	Reduced	–
First Tr Exch Traded FD III33739P830	SHRT DUR MNG MUN	13,697	$273.3K	<0.1%	−5,202−27.5%	Reduced	–
SPDR Series Trust78468R200	ST STR RATE ETF	8,952	$273.8K	<0.1%	−30,802−77.5%	Reduced	–
OTISOtis Worldwide Corp	Stock	3,062	$273.9K	<0.1%	−1,127−26.9%	Reduced	History
GNWGenworth Financial Inc	COM SHS	41,107	$274.6K	<0.1%	−47,825−53.8%	Reduced	History
BHVNBiohaven Ltd.	COM	6,418	$274.7K	<0.1%	−6,447−50.1%	Reduced	History
CPBCAMPBELL'S Co	COM	6,363	$275.1K	<0.1%	+6,363	New	History
Invesco Actvely MNGD Etc FD46090F100	OPTIMUM YIELD	20,748	$275.9K	<0.1%	−65,621−76.0%	Reduced	–
MRNAModerna, Inc.	Stock	2,777	$276.2K	<0.1%	−7,228−72.2%	Reduced	History
RABrookfield Real Assets Income Fund Inc.	SHS BEN INT	21,561	$276.2K	<0.1%	−22,887−51.5%	Reduced	History
iShares U.S. ETF Trust iShares Gsci Commodity Dynamic Roll Strategy ETF46431W853	ETF	11,062	$277.3K	<0.1%	−13,181−54.4%	Reduced	–
iShares Tr464287697	U.S. UTILITS ETF	3,470	$277.4K	<0.1%	−5,064−59.3%	Reduced	–
J P Morgan Exchange Traded F46641Q670	CORE PLUS BD ETF	5,912	$278.3K	<0.1%	−6,840−53.6%	Reduced	–
VICIVici Properties Inc.	COM	8,768	$279.5K	<0.1%	−6,322−41.9%	Reduced	History
Innovator ETFs Trust45782C326	US EQTY BUFR MAY	8,268	$280.0K	<0.1%	−8,276−50.0%	Reduced	–
SWKStanley Black & Decker, Inc.	COM	2,875	$282.1K	<0.1%	−6,403−69.0%	Reduced	History
IRIngersoll Rand Inc.	COM	3,656	$282.8K	<0.1%	−8,050−68.8%	Reduced	History
LHXL3HARRIS Technologies, Inc.	Stock	1,346	$283.5K	<0.1%	−1,778−56.9%	Reduced	History
Vanguard Mortgage-Backed Securities ETF92206C771	ETF	6,125	$283.9K	<0.1%	−7,283−54.3%	Reduced	–
ESSEssex Property Trust, Inc.	COM	1,146	$284.2K	<0.1%	−1,649−59.0%	Reduced	History
Dimensional U.S. Core Equity 2 ETF25434V708	ETF	9,742	$284.8K	<0.1%	+403+4.3%	Added	–

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
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Innovator ETFs Trust45782C367	INTRNL DEV APRL	17,543	$423.6K	<0.1%	–
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iShares Tr464288372	GLB INFRASTR ETF	9,706	$420.2K	<0.1%	–