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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q2 2024

Holdings as of Jun 30, 2024, filed Aug 6, 2024. Long positions only; changes compare share counts with Q1 2024.

Institution overview
Positions
1,178
−37 vs. Q1 2024
Portfolio value
$3.15B
−$26.9M (−0.8%) vs. Q1 2024
Filed
Aug 6, 2024
SEC
Holdings of Sigma Planning Corp in Q2 2024
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20210,218$398<0.1%00.0%UnchangedHistory
KITTNauticus Robotics, Inc.COM20,000$2.72K<0.1%+20,000NewHistory
DNMRDanimer Scientific, Inc.COM CL A10,065$6.07K<0.1%+10,065NewHistory
WKSPWorksport LtdCOM NEW10,590$8.25K<0.1%+10,590NewHistory
TELLTellurian Inc.COM13,000$9.00K<0.1%+13,000NewHistory
LUMNLumen Technologies, Inc.Stock11,208$12.3K<0.1%+201+1.8%AddedHistory
EVGNEvogene Ltd.SHS22,775$14.8K<0.1%−9,010−28.3%ReducedHistory
RCATRed Cat Holdings, Inc.Stock13,684$15.7K<0.1%+10.0%AddedHistory
NOTVInotiv, Inc.COM10,500$17.4K<0.1%−4,500−30.0%ReducedHistory
TLRYTilray Brands, Inc.COM CL 210,951$18.2K<0.1%−53−0.5%ReducedHistory
RGTIRigetti Computing, Inc.COMMON STOCK17,416$18.6K<0.1%00.0%UnchangedHistory
OPKOpko Health, Inc.COM17,972$22.5K<0.1%−217−1.2%ReducedHistory
DNNDenison Mines Corp.COM12,000$23.9K<0.1%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM180,400$26.4K<0.1%+19,900+12.4%AddedHistory
ESPREsperion Therapeutics, Inc.COM12,141$27.0K<0.1%+12,141NewHistory
SIRISirius XM Holdings Inc.COM10,506$29.7K<0.1%−204−1.9%ReducedHistory
PLGPlatinum Group Metals LtdCOM18,500$31.4K<0.1%00.0%UnchangedHistory
Lithium Americas Argentina Cor Com Shs53681K100Stock11,373$36.4K<0.1%−1,046−8.4%Reduced–
STEMStem, Inc.CL A36,005$40.0K<0.1%+15,050+71.8%AddedHistory
TPICQTpi Composites, IncCOM10,061$40.1K<0.1%00.0%UnchangedHistory
BBBLACKBERRY LtdCOM16,326$40.5K<0.1%+4,000+32.5%AddedHistory
GGBGerdau S.A.SPON ADR REP PFD12,662$41.8K<0.1%+2,284+22.0%AddedHistory
Amplify ETF Tr032108631AMPLIFY ALTERNAT13,257$44.0K<0.1%−291−2.1%Reduced–
BBDBank BradescoSP ADR PFD NEW19,463$45.1K<0.1%00.0%UnchangedHistory
SOUNSoundhound AI, Inc.CLASS A COM12,040$47.6K<0.1%+12,040NewHistory
IAFAbrdn Australia Equity Fund, Inc.COM12,100$52.4K<0.1%+12,100NewHistory
OXSQOxford Square Capital Corp.COM20,207$59.4K<0.1%+6,682+49.4%AddedHistory
EDITEditas Medicine, Inc.COM12,729$59.4K<0.1%−561−4.2%ReducedHistory
GABGabelli Equity Trust IncCOM11,777$61.2K<0.1%+28+0.2%AddedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,585$63.4K<0.1%+138+0.8%AddedHistory
SBSafe Bulkers, Inc.COM11,736$68.3K<0.1%+78+0.7%AddedHistory
WBDWarner Bros. Discovery, Inc.Stock10,307$76.7K<0.1%−2,915−22.0%ReducedHistory
PLUGPlug Power IncStock33,530$78.1K<0.1%+5,475+19.5%AddedHistory
CMLSQCumulus Media IncCOM CL A39,921$81.4K<0.1%+1,700+4.4%AddedHistory
AGFirst Majestic Silver CorpCOM14,674$86.9K<0.1%−46−0.3%ReducedHistory
JPCNuveen Preferred & Income Opportunities FundCOM11,795$88.1K<0.1%+11,795NewHistory
IGRCbre Global Real Estate Income FundCOM17,790$89.7K<0.1%+3,446+24.0%AddedHistory
RWTRedwood Trust IncCOM13,880$90.1K<0.1%00.0%UnchangedHistory
JMIAJumia Technologies AGSPONSORED ADS13,208$92.7K<0.1%+2,865+27.7%AddedHistory
FLYYSpirit Aviation Holdings, Inc.COM25,336$92.7K<0.1%+5,801+29.7%AddedHistory
CIKCredit Suisse Asset Management Income Fund, Inc.COM31,263$92.9K<0.1%+9,095+41.0%AddedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,474$94.7K<0.1%+10,474NewHistory
Advisorshares Tr00768Y453PURE US CANN ETF13,618$99.8K<0.1%−105−0.8%Reduced–
ATOMAtomera IncCOM26,200$99.8K<0.1%−400−1.5%ReducedHistory
FSCOFS Credit Opportunities Corp.COMMON STOCK15,736$100.2K<0.1%+579+3.8%AddedHistory
NWLNewell Brands Inc.Stock16,655$106.8K<0.1%+3,290+24.6%AddedHistory
MPTMedical Properties Trust IncCOM24,914$107.4K<0.1%−1,875−7.0%ReducedHistory
HLHecla Mining CoCOM22,854$110.8K<0.1%+1,007+4.6%AddedHistory
IBRXImmunityBio, Inc.COM17,795$112.5K<0.1%+4,875+37.7%AddedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT13,377$112.5K<0.1%+197+1.5%AddedHistory
VGRVector Group LtdCOM10,936$115.6K<0.1%−210−1.9%ReducedHistory
Bitfarms Ltd Com09173B107Stock45,300$116.4K<0.1%+45,300New–
VMOInvesco Municipal Opportunity TrustCOM11,618$117.1K<0.1%−19−0.2%ReducedHistory
BBDCBarings BDC, Inc.COM12,382$120.5K<0.1%+46+0.4%AddedHistory
RUMRUM Group Inc.Stock22,092$122.6K<0.1%−3,380−13.3%ReducedHistory
RWAYRunway Growth Finance Corp.COM11,100$130.5K<0.1%+11,100NewHistory
RFICohen & Steers Total Return Realty Fund IncCOM11,367$131.4K<0.1%−48,471−81.0%ReducedHistory
LTRNLantern Pharma Inc.COM28,400$132.6K<0.1%+1,550+5.8%AddedHistory
BLEBlackRock Municipal Income Trust IICOM12,447$134.5K<0.1%+11+0.1%AddedHistory
VanEck ETF Trust92189F452MORTGAGE REIT12,300$137.6K<0.1%+500+4.2%Added–
CRMDCorMedix Inc.COM32,268$139.7K<0.1%+944+3.0%AddedHistory
iShares Global Clean Energy ETF464288224ETF10,534$140.3K<0.1%−1,377−11.6%Reduced–
FAXAbrdn Asia-Pacific Income Fund, Inc.COM52,440$140.5K<0.1%+1,400+2.7%AddedHistory
SVCService Properties TrustCOM SH BEN INT27,900$143.4K<0.1%+547+2.0%AddedHistory
RIVNRivian Automotive, Inc.Stock10,782$144.7K<0.1%−2,937−21.4%ReducedHistory
SCWO374Water Inc.Common Stock126,193$151.4K<0.1%+17,500+16.1%AddedHistory
EZPWEzcorp IncCL A NON VTG14,485$151.7K<0.1%+12+0.1%AddedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS13,032$152.6K<0.1%−340−2.5%Reduced–
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM13,772$157.5K<0.1%+10.0%AddedHistory
GFNew Germany Fund IncCOM19,630$159.7K<0.1%+54+0.3%AddedHistory
MTTRMatterport, Inc.COM CL A36,175$161.7K<0.1%+500+1.4%AddedHistory
UWMCUWM Holdings CorpCOM CL A24,472$169.6K<0.1%+28+0.1%AddedHistory
PCTPureCycle Technologies, Inc.COM29,181$172.8K<0.1%+1,100+3.9%AddedHistory
EFREaton Vance Senior Floating-Rate TrustCOM13,469$176.2K<0.1%−1,295−8.8%ReducedHistory
XERSXeris Biopharma Holdings, Inc.COM78,450$176.5K<0.1%+1,900+2.5%AddedHistory
APTOAptose Biosciences Inc.COM234,468$178.0K<0.1%+48,051+25.8%AddedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$180.3K<0.1%–––
LEGLeggett & Platt IncStock15,863$181.8K<0.1%−818−4.9%ReducedHistory
LYFTLyft, Inc.CL A COM12,905$182.0K<0.1%+12,905NewHistory
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM11,484$182.6K<0.1%+277+2.5%AddedHistory
HRHealthcare Realty Trust IncCL A COM11,384$187.6K<0.1%−339−2.9%ReducedHistory
PDMPiedmont Realty Trust, Inc.COM CL A27,022$195.9K<0.1%+5,701+26.7%AddedHistory
TSITCW Strategic Income Fund IncCOM41,952$198.9K<0.1%+10.0%AddedHistory
PHKPIMCO High Income FundCOM SHS41,407$199.6K<0.1%−141,644−77.4%ReducedHistory
NMAINuveen Multi-Asset Income FundCOM16,168$199.7K<0.1%−404−2.4%ReducedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT14,411$199.7K<0.1%+866+6.4%AddedHistory
PPLPPL CorpCOM7,235$200.1K<0.1%−1,539−17.5%ReducedHistory
GNLGlobal Net Lease, Inc.COM NEW27,241$200.2K<0.1%−837−3.0%ReducedHistory
Abrdn ETFs003261104BBRG ALL COMD K19,866$200.6K<0.1%+9,866New–
Invesco Exch TRD SLF Idx FD46138J791BULSHS 2026 CB10,498$201.3K<0.1%−155,436−93.7%Reduced–
First Tr Exchng Traded FD VI33740F862FT VEST US EQT4,580$201.9K<0.1%−227−4.7%Reduced–
First Tr Exchange Traded FD33738R308BUYWRIT INCM ETF9,006$202.4K<0.1%+9,006New–
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW3,672$202.8K<0.1%−801−17.9%Reduced–
OTISOtis Worldwide CorpStock2,110$203.1K<0.1%−1,873−47.0%ReducedHistory
ETSYEtsy IncCOM3,446$203.2K<0.1%00.0%UnchangedHistory
ALLEAllegion plcORD SHS1,723$203.6K<0.1%00.0%UnchangedHistory
DECKDeckers Outdoor CorpCOM210$203.7K<0.1%−79−27.3%ReducedHistory
TEAMAtlassian CorpCL A1,152$203.8K<0.1%−291−20.2%ReducedHistory
WSTWest Pharmaceutical Services IncCOM619$203.9K<0.1%−2−0.3%ReducedHistory
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG1,912$204.5K<0.1%−440−18.7%Reduced–

Options (12)

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 Q2 2024
SecurityClassPutsCalls
Invesco QQQ Trust Series I46090E103ETF$574.1K–
NVDANVIDIA CorpStock–$249.1K
SPYSPDR S&P 500 ETF TrustETF$26.3K–
ASIXAdvanSix Inc.COM$17.0K–
Flagstar Bank, National Association649445103COM–$15.2K
ECPGEncore Capital Group IncCOM$7.27K–
BABoeing CoStock$2.88K–
BFHBread Financial Holdings, Inc.COM$2.57K–
OLEDUniversal Display CorpCOM$2.57K–
XRXXerox Holdings CorpCOM NEW$1.92K–
NWLNewell Brands Inc.Stock$1.57K–
UBSUBS Group AGStock–$250

Sold out since Q1 2024 (97)

Positions held at the end of Q1 2024 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q1 2024
SecurityClassShares in Q1 2024Value in Q1 2024% of portfolio in Q1 2024History
iShares Tr464289859CORE 80 20 ETF56,464$4.15M0.1%–
PIMCO ETF Tr72201R2051-5 US TIP IDX79,419$4.09M0.1%–
FICOFair Isaac CorpCOM1,865$2.33M0.1%History
EXPEExpedia Group, Inc.Stock15,659$2.16M0.1%History
Bondbloxx ETF Trust09789C812BLOOMBERG TEN YR35,571$1.66M0.1%–
Innovator U.S. Equity Power Buffer ETF - October45782C797ETF43,773$1.64M0.1%–
CELHCelsius Holdings, Inc.COM NEW18,677$1.55M<0.1%History
NBIXNeurocrine Biosciences IncStock10,100$1.39M<0.1%History
iShares Tr464288166AGENCY BOND ETF12,285$1.33M<0.1%–
Innovator ETFs Trust45782C615GRWT100 PWR BUF22,585$1.07M<0.1%–
Innovator ETFs Trust45782C425US EQT ULTRA BFR28,638$881.9K<0.1%–
Capital Grp Fixed Incm ETF T14020Y409SHORT DURATION34,348$872.3K<0.1%–
PUBMPubMatic, Inc.COM CL A35,000$830.2K<0.1%History
PXDPioneer Natural Resources CoCOM3,106$815.6K<0.1%History
Innovator ETFs Trust45782C375US EQT ULTRA BF23,525$768.3K<0.1%–
RPMRPM International IncCOM6,275$746.5K<0.1%History
BIPCBrookfield Infrastructure CorpCOM SB VTG SHS A19,951$719.0K<0.1%History
iShares U.S. ETF Trust iShares Gsci Commodity Dynamic Roll Strategy ETF46431W853ETF25,586$690.8K<0.1%–
Invesco Exch TRD SLF Idx FD46138J643INVSCO BLSH 2832,553$653.3K<0.1%–
EVGEaton Vance Short Duration Diversified Income FundCOM56,363$595.2K<0.1%History
First Tr Exchng Traded FD VI33740U208FT VEST US EQT12,754$566.9K<0.1%–
iShares Tr46436E288INVT GRD CORP BD19,339$566.6K<0.1%–
STNEStoneCo Ltd.COM29,425$488.7K<0.1%History
PATHUiPath, Inc.Stock20,489$464.5K<0.1%History
ONOn Semiconductor CorpStock6,062$445.9K<0.1%History
CPECallon Petroleum CoCOM11,644$416.4K<0.1%History
BEPCBrookfield Renewable CorpCL A SUB VTG16,799$412.8K<0.1%History
CTRACoterra Energy Inc.Stock13,509$376.6K<0.1%History
DJTTrump Media & Technology Group Corp.Stock5,968$369.8K<0.1%History
First Tr Energy Income & Gro33738G104COM21,179$346.1K<0.1%–
ANAutonation, Inc.COM2,086$345.6K<0.1%History
SITESiteOne Landscape Supply, Inc.COM1,974$344.6K<0.1%History
SYNASYNAPTICS IncStock3,499$341.4K<0.1%History
PSAPublic StorageCOM1,131$328.2K<0.1%History
iShares Tr46432F859CORE 1 5 YR USD6,791$322.2K<0.1%–
ASOAcademy Sports & Outdoors, Inc.COM4,756$321.3K<0.1%History
BERYBerry Global Group, Inc.COM5,170$312.7K<0.1%History
BRBroadridge Financial Solutions, Inc.Stock1,515$310.5K<0.1%History
TAPMolson Coors Beverage CoCL B4,556$306.4K<0.1%History
NGGNational Grid PLCSPONSORED ADR NE4,435$302.6K<0.1%History
JPMorgan Chase & Co46625H365ALERIAN ML ETN10,563$300.9K<0.1%–
Innovator ETFs Trust45782C672US EQT ULTRA BF9,010$294.2K<0.1%–
Dimensional World Ex U.S. Core Equity 2 ETF25434V880ETF11,542$293.6K<0.1%–
Innovator U.S. Equity Ultra Buffer ETF - January45782C300ETF8,090$292.1K<0.1%–
iShares Tr46434V1000-5YR INVT GR CP5,869$288.9K<0.1%–
BLDRBuilders FirstSource, Inc.Stock1,382$288.2K<0.1%History
DBX ETF Tr233051820XTRACK MSCI ALL8,587$281.9K<0.1%–
RABrookfield Real Assets Income Fund Inc.SHS BEN INT20,674$267.1K<0.1%History
ODFLOld Dominion Freight Line, Inc.COM1,199$263.2K<0.1%History
DRIDarden Restaurants IncCOM1,574$263.1K<0.1%History
iShares Tr46435U697IBONDS DEC10,085$261.7K<0.1%–
BCEBce IncCOM NEW7,695$261.5K<0.1%History
iShares Tr464287192US TRSPRTION3,577$251.8K<0.1%–
MLMMartin Marietta Materials IncCOM409$251.6K<0.1%History
FLNGFlex LNG Ltd.SHS9,852$250.6K<0.1%History
RIVRivernorth Opportunities Fund, Inc.COM20,725$249.5K<0.1%History
Global X FDS37960A651SUPERDVDND REIT11,615$237.4K<0.1%–
First Tr Exchng Traded FD VI33740U687FT VEST U.S EQT7,200$237.3K<0.1%–
RBARB Global Inc.COM3,089$235.3K<0.1%History
APAMArtisan Partners Asset Management Inc.CL A5,075$232.3K<0.1%History
State Street SPDR S&P Regional Banking ETF78464A698ETF4,605$231.6K<0.1%–
CHDNChurchill Downs IncCOM1,860$230.2K<0.1%History
Innovator ETFs Trust45782C276GRWT100 PWR BUF3,975$229.2K<0.1%–
First Tr Exchng Traded FD VI33740U844FT VEST U.S6,323$229.0K<0.1%–
iShares Tr464288372GLB INFRASTR ETF4,797$228.5K<0.1%–
NEUNewmarket CorpCOM359$228.0K<0.1%History
iShares Tr46435U432IBONDS DEC 258,599$227.5K<0.1%–
Innovator ETFs Trust45783Y343INNOVATOR INTL D8,800$226.6K<0.1%–
SYMSymbotic Inc.Stock5,015$225.7K<0.1%History
First Tr Exchng Traded FD VI33740F425FT VEST U.S6,739$224.1K<0.1%–
iShares Tr464288737GLB CNSM STP ETF3,641$222.3K<0.1%–
iShares Tr46429B408MSCI PHILIPS ETF8,038$222.1K<0.1%–
CNCCentene CorpStock2,822$221.5K<0.1%History
Fidelity Merrimack STR Tr316188200LTD TRM BD ETF4,447$218.1K<0.1%–
DXCMDexcom IncCOM1,569$217.7K<0.1%History
iShares Tr464288562RESIDENTIAL MULT3,003$216.4K<0.1%–
OVVOvintiv Inc.COM4,155$215.7K<0.1%History
RIORio Tinto PLCADR3,357$214.0K<0.1%History
Great Ajax Corp38983D4097.25 CV SR NT 248,586$213.9K<0.1%–
NTGTortoise Midstream Energy Fund, Inc.COM5,516$211.4K<0.1%History
PHMPultegroup IncCOM1,709$206.2K<0.1%History
Vanguard Emerging Markets Government Bond ETF921946885ETF3,219$205.6K<0.1%–
OMCOmnicom Group Inc.COM2,112$204.4K<0.1%History
iShares Ibonds Dec 2026 Term Muni Bond ETF46435U259ETF8,040$203.8K<0.1%–
Invesco Exchange Traded FD T46137V373S&P500 EQL STP6,161$202.9K<0.1%–
ANSSAnsys IncCOM583$202.4K<0.1%History
Pacer Developed Markets International Cash Cows 100 ETF69374H873ETF6,300$201.3K<0.1%–
EGLEEagle Bulk Shipping Inc.COM3,220$201.2K<0.1%History
WisdomTree Tr97717X594ITL HDG QTLY DIV4,376$201.1K<0.1%–
BCXBlackRock Resources & Commodities Strategy TrustSHS20,528$186.4K<0.1%History
Crescent PT Energy Corp22576C101COM18,831$154.2K<0.1%–
EFTEaton Vance Floating-Rate Income TrustCOM10,310$137.2K<0.1%History
First Tr MLP & Energy Incom33739B104COM12,732$123.1K<0.1%–
HLNHaleon plcADR13,998$118.8K<0.1%History
CIMChimera Investment CorpCOM NEW16,185$74.6K<0.1%History
NKLANikola CorpCOM22,549$23.5K<0.1%History
Portage Biotech IncG7185A128COM10,680$6.02K<0.1%–