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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q4 2023

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

Institution overview
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
SecurityClassSharesValue% of portfolioShare changeActionHistory
First Tr Exchange Traded FD33738R688S&P INTL DIVID17,669$284.8K<0.1%−9,438−34.8%Reduced–
First Tr Exchng Traded FD VI33740F771FT VEST US7,634$286.2K<0.1%−14,648−65.7%Reduced–
WYWeyerhaeuser CoCOM NEW8,235$286.3K<0.1%−7,358−47.2%ReducedHistory
Innovator ETFs Trust45782C318US EQTY PWR BUF9,106$286.6K<0.1%−14,875−62.0%Reduced–
EXCExelon CorpStock7,994$287.0K<0.1%−8,546−51.7%ReducedHistory
VanEck ETF Trust92189F486IG FLOA RATE ETF11,420$287.2K<0.1%+11,420New–
CUECue Biopharma, Inc.COM108,875$287.4K<0.1%−135,830−55.5%ReducedHistory
iShares Tr464288562RESIDENTIAL MULT3,915$287.8K<0.1%−4,281−52.2%Reduced–
WFRDWeatherford International plcORD SHS2,943$287.9K<0.1%+2,943NewHistory
iShares Tr464288513IBOXX HI YD ETF3,777$292.3K<0.1%−10,238−73.1%Reduced–
iShares Tr4642886613 7 YR TREAS BD2,501$292.9K<0.1%−974−28.0%Reduced–
iShares Tr464287119MORNINGSTAR GRWT4,324$293.3K<0.1%−5,165−54.4%Reduced–
CFLTConfluent, Inc.CLASS A COM12,545$293.6K<0.1%+3,789+43.3%AddedHistory
RFICohen & Steers Total Return Realty Fund IncCOM25,001$293.8K<0.1%−31,787−56.0%ReducedHistory
PBAPembina Pipeline CorpCOM8,563$294.7K<0.1%−8,933−51.1%ReducedHistory
INTSIntensity Therapeutics, Inc.COM34,443$295.2K<0.1%−13,701−28.5%ReducedHistory
HESHess CorpStock2,048$295.2K<0.1%+2,048NewHistory
Innovator ETFs Trust45782C888US EQT BUFR APR7,741$295.8K<0.1%−5,130−39.9%Reduced–
WisdomTree Tr97717W604US SMALLCAP DIVD9,222$296.7K<0.1%−14,420−61.0%Reduced–
Vanguard Ftse All-World Ex-US Index Fund922042775ETF5,293$297.1K<0.1%−35,575−87.0%Reduced–
ALBAlbemarle CorpStock2,059$297.5K<0.1%−4,069−66.4%ReducedHistory
Crescent PT Energy Corp22576C101COM43,000$298.0K<0.1%−41,200−48.9%Reduced–
HALHalliburton CoStock8,302$300.1K<0.1%−5,325−39.1%ReducedHistory
MASIMasimo CorpCOM2,569$301.1K<0.1%−336−11.6%ReducedHistory
CLHClean Harbors IncCOM1,736$302.9K<0.1%−249−12.5%ReducedHistory
SNVSynovus Financial CorpCOM NEW8,111$305.4K<0.1%−1,809−18.2%ReducedHistory
Barrick Gold Corp067901108COM16,882$305.4K<0.1%−6,379−27.4%Reduced–
First Tr Exch Traded FD III33739P301MUNI HI INCM ETF6,418$306.0K<0.1%−4,615−41.8%Reduced–
DSLDoubleLine Income Solutions FundCOM25,088$307.1K<0.1%−5,740−18.6%ReducedHistory
iShares Tr46435G326CORE MSCI INTL4,824$307.1K<0.1%−8,140−62.8%Reduced–
Vanguard Utilities ETF92204A876ETF2,250$308.4K<0.1%−3,796−62.8%Reduced–
ELVElevance Health, Inc.Stock659$310.8K<0.1%−461−41.2%ReducedHistory
TFCTruist Financial CorpCOM8,477$313.0K<0.1%−3,184−27.3%ReducedHistory
RBLXRoblox CorpStock6,860$313.6K<0.1%−1,867−21.4%ReducedHistory
SGOLabrdn Gold ETF TrustETF15,930$314.5K<0.1%−73,623−82.2%ReducedHistory
NNNNNN REIT, Inc.REIT7,326$315.7K<0.1%−7,951−52.0%ReducedHistory
PLDPrologis, Inc.REIT2,381$317.4K<0.1%−4,959−67.6%ReducedHistory
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF6,518$317.6K<0.1%−2,199−25.2%Reduced–
PSECProspect Capital CorpCOM53,245$318.9K<0.1%−39,594−42.6%ReducedHistory
OCOwens CorningStock2,159$320.1K<0.1%−1,433−39.9%ReducedHistory
ATOAtmos Energy CorpCOM2,780$322.2K<0.1%−821−22.8%ReducedHistory
UTGReaves Utility Income FundCOM SH BEN INT12,054$322.3K<0.1%−12,808−51.5%ReducedHistory
Victory Portfolios II92647N535SHORT TRM BD ETF6,585$326.5K<0.1%−13,164−66.7%Reduced–
Schwab International Equity ETF808524805ETF8,854$327.3K<0.1%−14,675−62.4%Reduced–
AFLAflac IncStock3,982$328.5K<0.1%−6,944−63.6%ReducedHistory
VanEck ETF Trust92189F387SHRT HGH YLD MUN14,979$331.5K<0.1%−33,389−69.0%Reduced–
MNSTMonster Beverage CorpCOM5,776$332.8K<0.1%−3,288−36.3%ReducedHistory
Bondbloxx ETF Trust09789C853BLOOMBERG TWO YR6,841$338.1K<0.1%−5,381−44.0%Reduced–
CMECME Group Inc.COM1,605$338.1K<0.1%−9,549−85.6%ReducedHistory
iShares Russell Top 200 Growth ETF464289438ETF1,930$338.1K<0.1%−1,378−41.7%Reduced–
HSYHershey CoCOM1,822$339.8K<0.1%−1,389−43.3%ReducedHistory
Innovator ETFs Trust45782C508US EQTY PWR BUF9,152$340.8K<0.1%−23,279−71.8%Reduced–
Vanguard Index FDS922908652EXTEND MKT ETF2,084$342.7K<0.1%−3,423−62.2%Reduced–
First Trust Financials Alphadex Fund33734X135ETF7,928$343.2K<0.1%−11,724−59.7%Reduced–
ALGNAlign Technology IncCOM1,254$343.6K<0.1%−230−15.5%ReducedHistory
NLYAnnaly Capital Management IncREIT17,835$345.5K<0.1%−25,776−59.1%ReducedHistory
First Tr Exchange-Traded Alp33734K109COM SHS3,840$346.2K<0.1%−6,972−64.5%Reduced–
NSCNorfolk Southern CorpStock1,469$347.3K<0.1%−1,272−46.4%ReducedHistory
CTVACorteva, Inc.Stock7,283$349.0K<0.1%−3,432−32.0%ReducedHistory
SNASnap-on IncCOM1,212$350.0K<0.1%−1,543−56.0%ReducedHistory
AZNAstraZeneca PLCSPONSORED ADR5,200$350.2K<0.1%−14,442−73.5%ReducedHistory
OUNZVanEck Merk Gold ETFGOLD SHS17,631$351.9K<0.1%−36,844−67.6%ReducedHistory
RCKTRocket Pharmaceuticals, Inc.COM11,870$355.7K<0.1%−13,910−54.0%ReducedHistory
PGRProgressive CorpStock2,243$357.2K<0.1%−3,929−63.7%ReducedHistory
FRPTFreshpet, Inc.Stock4,119$357.4K<0.1%−1,211−22.7%ReducedHistory
WisdomTree Tr97717X669US QTLY DIV GRT5,101$358.5K<0.1%−3,164−38.3%Reduced–
iShares Tr464288752US HOME CONS ETF3,539$360.0K<0.1%−3,702−51.1%Reduced–
PRUPrudential Financial IncStock3,486$361.5K<0.1%−4,951−58.7%ReducedHistory
Global X Lithium & Battery Tech ETF37954Y855ETF7,114$362.4K<0.1%−4,260−37.5%Reduced–
Innovator ETFs Trust45782C557US EQTY BUF DEC9,498$363.3K<0.1%−4,026−29.8%Reduced–
JFRNuveen Floating Rate Income FundCOM44,353$364.6K<0.1%−36,843−45.4%ReducedHistory
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF7,825$364.9K<0.1%−16,905−68.4%Reduced–
WBAWalgreens Boots Alliance, Inc.COM14,071$367.4K<0.1%−10,769−43.4%ReducedHistory
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF10,812$367.7K<0.1%−14,231−56.8%Reduced–
Innovator ETFs Trust45782C383US EQTY PWR BUF10,337$368.2K<0.1%−5,430−34.4%Reduced–
AIC3.ai, Inc.Stock12,828$368.3K<0.1%−28,593−69.0%ReducedHistory
iShares Tr464287291GLOBAL TECH ETF5,410$368.8K<0.1%−5,282−49.4%Reduced–
SHELShell plcADR5,644$371.4K<0.1%−13,245−70.1%ReducedHistory
MUMicron Technology IncStock4,367$372.7K<0.1%−11,090−71.7%ReducedHistory
VISTVista Energy, S.A.B. de C.V.SPONSORED ADS12,675$374.0K<0.1%+1,990+18.6%AddedHistory
GNTXGentex CorpCOM11,461$374.3K<0.1%−3,485−23.3%ReducedHistory
CGCarlyle Group Inc.COM9,205$374.6K<0.1%−35,188−79.3%ReducedHistory
Schwab U.S. Mid-Cap ETF808524508ETF4,989$375.8K<0.1%−9,873−66.4%Reduced–
Invesco S&P 500 Quality ETF46137V241ETF6,982$377.6K<0.1%−3,603−34.0%Reduced–
VRSNVerisign IncCOM1,835$377.9K<0.1%−11,655−86.4%ReducedHistory
Schwab US Tips ETF808524870ETF7,285$380.3K<0.1%−19,569−72.9%Reduced–
AGNCAGNC Investment Corp.REIT38,769$380.3K<0.1%−8,089−17.3%ReducedHistory
MGMMGM Resorts InternationalStock8,531$381.2K<0.1%−4,550−34.8%ReducedHistory
KEYKeycorpCOM26,527$382.0K<0.1%−29,105−52.3%ReducedHistory
iShares Tr46434V860TRS FLT RT BD7,606$383.9K<0.1%−9,518−55.6%Reduced–
Invesco Exch TRD SLF Idx FD46138J460INVSCO 30 CORP23,095$384.2K<0.1%−11,300−32.9%Reduced–
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF9,133$385.1K<0.1%−16,250−64.0%Reduced–
DDOGDatadog, Inc.CL A COM3,178$385.7K<0.1%−183−5.4%ReducedHistory
WisdomTree Tr97717Y527FLOATNG RAT TREA7,689$386.3K<0.1%−8,710−53.1%Reduced–
CCitigroup IncStock7,531$387.4K<0.1%−11,795−61.0%ReducedHistory
DBCInvesco DB Commodity Index Tracking FundUNIT17,608$388.1K<0.1%−22,818−56.4%ReducedHistory
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL6,195$388.2K<0.1%−11,099−64.2%Reduced–
State Street SPDR Portfolio S&P 500 ETF78464A854ETF6,949$388.5K<0.1%−23,295−77.0%Reduced–
iShares Russell 1000 Value ETF464287598ETF2,351$388.6K<0.1%−9,654−80.4%Reduced–
Alps ETF Tr00162Q395OSHARES US SMLCP9,921$388.7K<0.1%−6,213−38.5%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
SecurityClassPutsCalls
NWLNewell Brands Inc.Stock$9.31K–
PBIPitney Bowes IncCOM$4.90K–
TUPTupperware Brands CorpCOM$3.69K–
GNWGenworth Financial IncCOM SHS$3.01K–
NOKNokia CorpSPONSORED ADR$1.85K–
UBSUBS Group AGStock–$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
SecurityClassShares in Q3 2023Value in Q3 2023% of portfolio in Q3 2023History
Innovator ETFs Trust45783Y723POWER BUFFER SET191,031$5.09M0.2%–
iShares Tr46432F859CORE 1 5 YR USD87,727$4.07M0.2%–
iShares Inc464286525MSCI GBL MIN VOL37,544$3.58M0.1%–
First Tr Exchange Traded FD33734X143HLTH CARE ALPH33,606$3.27M0.1%–
Invesco Exchange Traded FD T46137V886DWA STAPLES37,451$3.13M0.1%–
Invesco Exch TRD SLF Idx FD46138J866BULSHS 2023 CB139,844$2.97M0.1%–
First Tr Exch Traded FD III33739P871HORIZON MNGD ETF98,648$2.66M0.1%–
State Street SPDR S&P Semiconductor ETF78464A862ETF13,366$2.62M0.1%–
CXMSprinklr, Inc.CL A188,136$2.60M0.1%History
iShares Tr46436E882IBONDS 23 TRM TS95,414$2.37M0.1%–
CEQPCrestwood Equity Partners LPUNIT LTD PARTNER52,502$1.54M0.1%History
iShares Tr46434VAX8IBONDS DEC23 ETF55,668$1.41M0.1%–
First Tr Exchange Trad FD VI33739H101FST TR GLB FD52,033$1.25M<0.1%–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY50,650$1.19M<0.1%–
iShares Tr46428865310-20 YR TRS ETF11,899$1.17M<0.1%–
Invesco Exch TRD SLF Idx FD46138J817BULSHS 2025 HY49,045$1.10M<0.1%–
Invesco Exch TRD SLF Idx FD46138J833BULSHS 2024 HY48,969$1.10M<0.1%–
Invesco Exch TRD SLF Idx FD46138J635INVSCO BLSH 2646,088$1.04M<0.1%–
WisdomTree Tr97717W109US TOTAL DIVIDND15,825$952.2K<0.1%–
VMWVmware LLCCL A COM5,598$932.1K<0.1%History
DBAInvesco DB Agriculture FundAGRICULTURE FD43,392$929.0K<0.1%History
DBPInvesco DB Precious Metals FundPRECIOUS METAL19,231$913.1K<0.1%History
Exchange Traded Concepts Tr301505749VSPR US LC ETF38,885$893.7K<0.1%–
TTTrane Technologies plcSHS4,289$870.3K<0.1%History
DTMDT Midstream, Inc.COMMON STOCK16,343$864.9K<0.1%History
JXNJackson Financial Inc.COM CL A22,378$855.3K<0.1%History
Invesco Exch Traded FD Tr II46138G508SR LN ETF39,327$825.5K<0.1%–
BWABorgwarner IncCOM20,121$812.3K<0.1%History
CHICalamos Convertible Opportunities & Income FundSH BEN INT74,878$789.2K<0.1%History
iShares Tr46435U150IBONDS 23 TRM HG33,232$785.6K<0.1%–
SPDR Series Trust78464A805ST STR PR SP150014,532$762.8K<0.1%–
SPLKSplunk IncCOM5,208$761.7K<0.1%History
Vanguard Scottsdale FDS92206C649VNG RUS2000VAL6,192$739.3K<0.1%–
BCBrunswick CorpCOM9,311$735.6K<0.1%History
MASMasco CorpCOM13,699$732.2K<0.1%History
HPQHP IncStock28,079$721.6K<0.1%History
PECOPhillips Edison & Company, Inc.COMMON STOCK21,467$720.0K<0.1%History
Global X FDS37954Y632ARTIFICIAL ETF26,168$704.2K<0.1%–
Dimensional ETF Trust25434V815US SMALL CAP ETF27,370$693.6K<0.1%–
Schwab Emerging Markets Equity ETF808524706ETF28,721$687.6K<0.1%–
ARCHArch Resources, Inc.CL A3,916$668.4K<0.1%History
iShares U.S. Treasury Bond ETF46429B267ETF28,723$633.1K<0.1%–
BF.BBrown Forman CorpStock10,952$631.8K<0.1%History
Dimensional ETF Trust25434V740EMERGING MKTS VA26,558$628.6K<0.1%–
Global X FDS37954Y715RBTCS ARTFL INTE25,189$622.7K<0.1%–
RBB FD Inc74933W452F/M US TREASURY12,413$621.5K<0.1%–
Vanguard Scottsdale FDS92206C813LG-TERM COR BD8,635$618.5K<0.1%–
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS27,424$616.2K<0.1%History
iShares Inc46434G822MSCI JAPAN ETF10,205$615.3K<0.1%–
Innovator ETFs Trust45782C334GRWT100 PWR BF14,254$596.1K<0.1%–
HIGHartford Insurance Group, Inc.Stock8,366$593.3K<0.1%History
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF12,320$591.0K<0.1%–
NUSNu Skin Enterprises, Inc.CL A27,792$589.5K<0.1%History
SPDR Series Trust78468R804ST STR R1K LOWV4,308$575.3K<0.1%–
Vanguard Consumer Discretionary ETF92204A108ETF2,121$571.5K<0.1%–
Invesco Exch TRD SLF Idx FD46138J742RAFI STRATGIC US14,297$569.5K<0.1%–
VEEVVeeva Systems IncStock2,792$568.0K<0.1%History
VMIValmont Industries IncCOM2,348$564.1K<0.1%History
LZBLa-Z-Boy IncCOM18,253$563.7K<0.1%History
HOLXHologic IncCOM7,973$553.3K<0.1%History
iShares Tr46435U374MSCI JP VALUE19,291$550.8K<0.1%–
LIVELive Ventures IncCOM NEW19,229$544.0K<0.1%History
CMGChipotle Mexican Grill IncCOM296$543.5K<0.1%History
Invesco Exchange Traded FD T46137V464S&P MDCP MOMNTUM6,735$542.3K<0.1%–
IMOImperial Oil LtdCOM NEW8,450$520.5K<0.1%History
BFHBread Financial Holdings, Inc.COM15,171$518.9K<0.1%History
Innovator ETFs Trust45782C755US EQTY BUFR JUN15,794$518.4K<0.1%–
USBUS Bancorp DECOM NEW15,621$516.5K<0.1%History
HRLHormel Foods CorpCOM13,368$508.4K<0.1%History
HUNHuntsman CORPCOM20,738$506.0K<0.1%History
UNMUnum GroupStock10,276$505.5K<0.1%History
iShares Tr464288281JPMORGAN USD EMG6,072$501.1K<0.1%–
SPDR Series Trust78468R622ST BLOO HIGH ETF5,514$498.5K<0.1%–
INTUIntuit Inc.Stock972$496.9K<0.1%History
CHDChurch & Dwight Co IncCOM5,418$496.5K<0.1%History
SWKSSkyworks Solutions, Inc.Stock5,008$493.8K<0.1%History
Vanguard Morningstar Small-Cap Growth ETF922908595ETF2,297$492.1K<0.1%–
SPDR Series Trust78468R556SP O&G EXPL PRO3,285$485.9K<0.1%–
ILMNIllumina, Inc.COM3,539$485.9K<0.1%History
First Tr Exchange-Traded Alp33735B108COM SHS5,263$484.8K<0.1%–
Vanguard Mun BD FDS922907746TAX EXEMPT BD9,944$478.3K<0.1%–
iShares Tr464288448INTL SEL DIV ETF18,779$477.0K<0.1%–
LEGLeggett & Platt IncStock18,587$472.3K<0.1%History
WORWorthington Enterprises, Inc.COM7,445$460.3K<0.1%History
CPECallon Petroleum CoCOM11,761$460.1K<0.1%History
CASHPathward Financial, Inc.COM9,975$459.8K<0.1%History
FTNTFortinet, Inc.Stock7,823$459.1K<0.1%History
SBLKStar Bulk Carriers Corp.SHS PAR23,674$456.4K<0.1%History
JBHTHunt J B Transport Services IncCOM2,388$450.2K<0.1%History
FASTFastenal CoStock8,165$446.2K<0.1%History
CPCanadian Pacific Kansas City LtdCOM5,977$444.8K<0.1%History
ADIAnalog Devices IncStock2,540$444.7K<0.1%History
AGNTAGNT, Inc.COM27,340$444.0K<0.1%History
GLPIGaming & Leisure Properties, Inc.COM9,677$440.8K<0.1%History
MRSHMarsh & McLennan Companies, Inc.Stock2,308$439.4K<0.1%History
iShares Tr464287234MSCI EMG MKT ETF11,408$433.0K<0.1%–
BCSFBain Capital Specialty Finance, Inc.COM STK27,730$424.6K<0.1%History
Innovator ETFs Trust45782C367INTRNL DEV APRL17,543$423.6K<0.1%–
iShares Tr46432F388MSCI USA VALUE4,641$421.1K<0.1%–
iShares Tr464288372GLB INFRASTR ETF9,706$420.2K<0.1%–