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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q3 2024

Holdings as of Sep 30, 2024, filed Nov 4, 2024. Long positions only; changes compare share counts with Q2 2024.

Institution overview
Positions
1,205
+27 vs. Q2 2024
Portfolio value
$3.26B
+$109.2M (+3.5%) vs. Q2 2024
Filed
Nov 4, 2024
SEC
Holdings of Sigma Planning Corp in Q3 2024
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20210,218$337<0.1%00.0%UnchangedHistory
WKSPWorksport LtdCOM NEW10,942$4.67K<0.1%+352+3.3%AddedHistory
DNMRDanimer Scientific, Inc.COM CL A11,956$5.43K<0.1%+1,891+18.8%AddedHistory
RGTIRigetti Computing, Inc.COMMON STOCK18,746$14.7K<0.1%+1,330+7.6%AddedHistory
NOTVInotiv, Inc.COM10,500$17.9K<0.1%00.0%UnchangedHistory
TLRYTilray Brands, Inc.COM CL 210,920$19.2K<0.1%−31−0.3%ReducedHistory
ESPREsperion Therapeutics, Inc.COM12,241$20.2K<0.1%+100+0.8%AddedHistory
DNNDenison Mines Corp.COM12,000$22.0K<0.1%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM180,400$24.8K<0.1%00.0%UnchangedHistory
PLGPlatinum Group Metals LtdCOM18,500$26.5K<0.1%00.0%UnchangedHistory
OPKOpko Health, Inc.COM17,972$26.8K<0.1%00.0%UnchangedHistory
CLOVClover Health Investments, Corp.COM CL A10,324$29.1K<0.1%+10,324NewHistory
RCATRed Cat Holdings, Inc.Stock13,684$34.8K<0.1%00.0%UnchangedHistory
BBBLACKBERRY LtdCOM16,326$42.8K<0.1%00.0%UnchangedHistory
GGBGerdau S.A.SPON ADR REP PFD12,747$44.6K<0.1%+85+0.7%AddedHistory
Amplify ETF Tr032108631AMPLIFY ALTERNAT13,889$46.0K<0.1%+632+4.8%Added–
CMLSQCumulus Media IncCOM CL A35,754$46.8K<0.1%−4,167−10.4%ReducedHistory
BBDBank BradescoSP ADR PFD NEW19,463$53.3K<0.1%00.0%UnchangedHistory
IAFAbrdn Australia Equity Fund, Inc.COM12,100$57.0K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM20,207$57.2K<0.1%00.0%UnchangedHistory
Bitfarms Ltd Com09173B107Stock27,800$58.7K<0.1%−17,500−38.6%Reduced–
FLYYSpirit Aviation Holdings, Inc.COM25,336$60.8K<0.1%00.0%UnchangedHistory
SBSafe Bulkers, Inc.COM11,783$61.0K<0.1%+47+0.4%AddedHistory
IBRXImmunityBio, Inc.COM17,000$63.2K<0.1%−795−4.5%ReducedHistory
AURAurora Innovation, Inc.CLASS A COM10,687$63.3K<0.1%+10,687NewHistory
GABGabelli Equity Trust IncCOM11,804$64.8K<0.1%+27+0.2%AddedHistory
ATOMAtomera IncCOM25,000$65.8K<0.1%−1,200−4.6%ReducedHistory
JMIAJumia Technologies AGSPONSORED ADS13,646$72.9K<0.1%+438+3.3%AddedHistory
RWTRedwood Trust IncCOM10,656$82.4K<0.1%−3,224−23.2%ReducedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT18,106$83.6K<0.1%+1,521+9.2%AddedHistory
AGFirst Majestic Silver CorpCOM14,676$88.1K<0.1%+20.0%AddedHistory
CGTXCognition Therapeutics IncCOM197,190$92.4K<0.1%+25,050+14.6%AddedHistory
PLUGPlug Power IncStock42,367$95.8K<0.1%+8,837+26.4%AddedHistory
CIKCredit Suisse Asset Management Income Fund, Inc.COM31,296$96.7K<0.1%+33+0.1%AddedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,474$97.0K<0.1%00.0%UnchangedHistory
FSCOFS Credit Opportunities Corp.COMMON STOCK15,732$99.9K<0.1%−40.0%ReducedHistory
JPCNuveen Preferred & Income Opportunities FundCOM12,435$100.3K<0.1%+640+5.4%AddedHistory
SOUNSoundhound AI, Inc.CLASS A COM21,640$100.8K<0.1%+9,600+79.7%AddedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS10,829$104.0K<0.1%+10,829NewHistory
RWAYRunway Growth Finance Corp.COM10,200$105.0K<0.1%−900−8.1%ReducedHistory
LTRNLantern Pharma Inc.COM28,650$105.1K<0.1%+250+0.9%AddedHistory
NATNordic American Tankers LtdCOM29,307$107.6K<0.1%+29,307NewHistory
VMOInvesco Municipal Opportunity TrustCOM10,809$111.0K<0.1%−809−7.0%ReducedHistory
IGRCbre Global Real Estate Income FundCOM17,897$117.6K<0.1%+107+0.6%AddedHistory
RUMRUM Group Inc.Stock22,347$119.8K<0.1%+255+1.2%AddedHistory
RIVNRivian Automotive, Inc.Stock10,702$120.1K<0.1%−80−0.7%ReducedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT13,452$122.4K<0.1%+75+0.6%AddedHistory
MTTRMatterport, Inc.COM CL A28,825$129.7K<0.1%−7,350−20.3%ReducedHistory
RIOTRiot Platforms, Inc.COM18,437$136.8K<0.1%−12,705−40.8%ReducedHistory
MPTMedical Properties Trust IncCOM24,253$141.9K<0.1%−661−2.7%ReducedHistory
CLSKCleanspark, Inc.COM NEW15,653$146.2K<0.1%−12,280−44.0%ReducedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS11,853$147.7K<0.1%−1,179−9.0%Reduced–
NWLNewell Brands Inc.Stock19,322$148.4K<0.1%+2,667+16.0%AddedHistory
iShares Global Clean Energy ETF464288224ETF10,114$148.6K<0.1%−420−4.0%Reduced–
VanEck ETF Trust92189F452MORTGAGE REIT12,450$150.3K<0.1%+150+1.2%Added–
BBDCBarings BDC, Inc.COM15,509$152.0K<0.1%+3,127+25.3%AddedHistory
CLFCleveland-Cliffs Inc.COM11,940$152.5K<0.1%−11,793−49.7%ReducedHistory
VSTSVestis CorpCOM SHS10,696$159.4K<0.1%+10,696NewHistory
EZPWEzcorp IncCL A NON VTG14,486$162.4K<0.1%+10.0%AddedHistory
APTOAptose Biosciences Inc.COM401,750$165.1K<0.1%+167,282+71.3%AddedHistory
EFREaton Vance Senior Floating-Rate TrustCOM13,399$170.8K<0.1%−70−0.5%ReducedHistory
PHKPIMCO High Income FundCOM SHS34,554$172.8K<0.1%−6,853−16.6%ReducedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$175.1K<0.1%–––
HLHecla Mining CoCOM26,371$175.9K<0.1%+3,517+15.4%AddedHistory
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM13,090$180.6K<0.1%+13,090NewHistory
INTSIntensity Therapeutics, Inc.COM47,744$182.4K<0.1%−125−0.3%ReducedHistory
SCWO374Water Inc.Common Stock135,193$183.9K<0.1%+9,000+7.1%AddedHistory
AIC3.ai, Inc.Stock8,346$202.2K<0.1%−3,830−31.5%ReducedHistory
HAFNHafnia LtdORD SHS28,250$202.3K<0.1%+28,250NewHistory
Simplify Exchange Traded Fun82889N723AGGREGATE BD ETF9,329$202.5K<0.1%−2,400−20.5%Reduced–
iShares Esg Aware US Aggregate Bond ETF46435U549ETF4,174$202.8K<0.1%−581−12.2%Reduced–
Abrdn ETFs003261104BBRG ALL COMD K19,935$203.1K<0.1%+69+0.7%Added–
Invesco Exch Traded FD Tr II46138E537NATL AMT MUNI8,426$203.5K<0.1%−598−6.6%Reduced–
Innovator ETFs Trust45782C342US SML CP PWR ET6,272$203.6K<0.1%−850−11.9%Reduced–
First Tr Exchng Traded FD VI33740F276FT ENER INCO ETF10,546$204.1K<0.1%−12,708−54.6%Reduced–
First Tr Exchng Traded FD VI33740F862FT VEST US EQT4,474$204.7K<0.1%−106−2.3%Reduced–
Invesco Exch TRD SLF Idx FD46138J742RAFI STRATGIC US4,079$205.2K<0.1%+4,079New–
KEYKeycorpCOM12,285$205.8K<0.1%−8,191−40.0%ReducedHistory
WABWestinghouse Air Brake Technologies CorpStock1,133$205.9K<0.1%+1,133NewHistory
Vanguard S&P 500 Value ETF921932703ETF1,081$206.2K<0.1%+1,081New–
iShares Tr464287770U.S. FIN SVC ETF2,909$206.6K<0.1%+2,909New–
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM11,755$206.6K<0.1%+271+2.4%AddedHistory
GNRCGenerac Holdings Inc.Stock1,302$206.8K<0.1%+1,302NewHistory
Vanguard Admiral FDS Inc921932885MIDCP 400 IDX1,963$207.4K<0.1%−632−24.4%Reduced–
HUMHumana IncStock656$207.8K<0.1%−1,255−65.7%ReducedHistory
AEMAgnico Eagle Mines LtdStock2,580$207.9K<0.1%+2,580NewHistory
FLGFlagstar Bank, National AssociationStock18,538$208.2K<0.1%+18,538NewHistory
RRyder System IncCOM1,429$208.4K<0.1%+1,429NewHistory
UWMCUWM Holdings CorpCOM CL A24,497$208.7K<0.1%+25+0.1%AddedHistory
J P Morgan Exchange-Traded F46641Q738BETBULD MSCI2,078$209.7K<0.1%+2,078New–
Vanguard Scottsdale FDS92206C623VNG RUS2000GRW1,013$209.8K<0.1%+1,013New–
ENPHEnphase Energy, Inc.Stock1,859$210.1K<0.1%+1,859NewHistory
AMPAmeriprise Financial IncCOM448$210.3K<0.1%−32−6.7%ReducedHistory
MCHPMicrochip Technology IncStock2,621$210.5K<0.1%−11−0.4%ReducedHistory
State Street SPDR S&P Regional Banking ETF78464A698ETF3,721$210.6K<0.1%+3,721New–
CNCCentene CorpStock2,803$211.0K<0.1%+2,803NewHistory
Listed FDS Tr53656F623HORI KI INFL ETF5,619$211.2K<0.1%+5,619New–
GPKGraphic Packaging Holding CoCOM7,145$211.4K<0.1%−2,072−22.5%ReducedHistory
OTISOtis Worldwide CorpStock2,048$212.9K<0.1%−62−2.9%ReducedHistory
NMAINuveen Multi-Asset Income FundCOM16,167$213.7K<0.1%−10.0%ReducedHistory

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 Q3 2024
SecurityClassPutsCalls
Invesco QQQ Trust Series I46090E103ETF$291.3K–
IDCCInterDigital, Inc.COM$6.68K–
XRXXerox Holdings CorpCOM NEW$5.87K–
ECPGEncore Capital Group IncCOM$2.88K–
BFHBread Financial Holdings, Inc.COM$2.78K–
UBSUBS Group AGStock–$250

Sold out since Q2 2024 (76)

Positions held at the end of Q2 2024 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q2 2024
SecurityClassShares in Q2 2024Value in Q2 2024% of portfolio in Q2 2024History
Pacer FDS Tr69374H725LUNT MDCAP MLT110,679$4.87M0.2%–
APHAmphenol CorpCL A48,719$3.28M0.1%History
ALABAstera Labs, Inc.Stock38,605$2.34M0.1%History
Capital Grp Fixed Incm ETF T14020Y102CORE PLUS INCM76,473$1.70M0.1%–
HUBSHubSpot IncCOM2,444$1.44M<0.1%History
iShares Tr464287754US INDUSTRIALS5,406$645.7K<0.1%–
WUWestern Union COStock52,697$644.0K<0.1%History
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH3,992$614.8K<0.1%–
iShares Tr464287580US CONSUM DISCRE7,003$569.2K<0.1%–
Innovator ETFs Trust45783Y277US SM CA PW JUNE22,511$567.7K<0.1%–
GWWW.W. Grainger, Inc.Stock616$555.5K<0.1%History
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF13,864$471.5K<0.1%–
DASHDoorDash, Inc.Stock4,274$464.9K<0.1%History
iShares Tr464288786U.S. INSRNCE ETF3,848$434.5K<0.1%–
WisdomTree Tr97717W851JAPN HEDGE EQT3,739$421.8K<0.1%–
Northern LTS FD Tr III66538R730HCM DEFEN 5008,095$400.5K<0.1%–
WisdomTree Tr97717W315EMER MKT HIGH FD9,238$400.1K<0.1%–
Ssga Active ETF Tr78467V707ST STR UL BD ETF9,567$387.2K<0.1%–
NXPINXP Semiconductors N.V.COM1,431$385.1K<0.1%History
BGBunge Global SACOM SHS3,435$366.7K<0.1%History
ALGNAlign Technology IncCOM1,493$360.5K<0.1%History
PIMCO ETF Tr72201R585MULTISECTOR BD13,976$358.3K<0.1%–
iShares Tr46434V860TRS FLT RT BD6,666$337.7K<0.1%–
BROSDutch Bros Inc.CL A6,838$283.1K<0.1%History
RBB FD Inc74933W486US TREASY 2 YR5,726$274.5K<0.1%–
SNVSynovus Financial CorpCOM NEW6,762$271.8K<0.1%History
LYBLyondellBasell Industries N.V.SHS - A -2,809$268.7K<0.1%History
Innovator ETFs Trust45782C466GRWT100 PWR BF5,885$266.9K<0.1%–
PPGPPG Industries IncStock2,021$254.5K<0.1%History
ELFe.l.f. Beauty, Inc.COM1,190$250.8K<0.1%History
CPACopa Holdings, S.A.CL A2,620$249.4K<0.1%History
MRNAModerna, Inc.Stock1,939$230.3K<0.1%History
Flagstar Bank, National Association649445103COM70,323$226.4K<0.1%–
LTCLTC Properties IncREIT6,483$223.7K<0.1%History
First Tr Exchange Trad FD VI33739H101FST TR GLB FD9,217$220.4K<0.1%–
Amplify ETF Tr032108409CWP ENHANCED DIV5,660$219.0K<0.1%–
WNCWabash National CorpCOM10,010$218.6K<0.1%History
VVVValvoline IncCOM5,045$217.9K<0.1%History
WisdomTree Tr97717W109US TOTAL DIVIDND3,071$217.5K<0.1%–
NVTnVent Electric plcSHS2,826$216.5K<0.1%History
ZSZscaler, Inc.Stock1,122$215.7K<0.1%History
ASHAshland Inc.COM2,277$215.2K<0.1%History
ARK ETF Tr00214Q302GENOMIC REV ETF9,111$213.9K<0.1%–
Innovator ETFs Trust45783Y681NASDAQ 100 MANA7,781$213.4K<0.1%–
ARK Next Generation Technology ETF00214Q401ETF2,728$212.9K<0.1%–
First Tr Exch Traded FD III33739P830SHRT DUR MNG MUN10,695$211.4K<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT3,861$208.5K<0.1%History
Bondbloxx ETF Trust09789C820BLOOMBERG SEVEN4,417$207.6K<0.1%–
WSTWest Pharmaceutical Services IncCOM619$203.9K<0.1%History
TEAMAtlassian CorpCL A1,152$203.8K<0.1%History
DECKDeckers Outdoor CorpCOM210$203.7K<0.1%History
ETSYEtsy IncCOM3,446$203.2K<0.1%History
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW3,672$202.8K<0.1%–
Invesco Exch TRD SLF Idx FD46138J791BULSHS 2026 CB10,498$201.3K<0.1%–
HRHealthcare Realty Trust IncCL A COM11,384$187.6K<0.1%History
LYFTLyft, Inc.CL A COM12,905$182.0K<0.1%History
LEGLeggett & Platt IncStock15,863$181.8K<0.1%History
PCTPureCycle Technologies, Inc.COM29,181$172.8K<0.1%History
GFNew Germany Fund IncCOM19,630$159.7K<0.1%History
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM13,772$157.5K<0.1%History
SVCService Properties TrustCOM SH BEN INT27,900$143.4K<0.1%History
FAXAbrdn Asia-Pacific Income Fund, Inc.COM52,440$140.5K<0.1%History
BLEBlackRock Municipal Income Trust IICOM12,447$134.5K<0.1%History
RFICohen & Steers Total Return Realty Fund IncCOM11,367$131.4K<0.1%History
VGRVector Group LtdCOM10,936$115.6K<0.1%History
Advisorshares Tr00768Y453PURE US CANN ETF13,618$99.8K<0.1%–
WBDWarner Bros. Discovery, Inc.Stock10,307$76.7K<0.1%History
EDITEditas Medicine, Inc.COM12,729$59.4K<0.1%History
TPICQTpi Composites, IncCOM10,061$40.1K<0.1%History
STEMStem, Inc.CL A36,005$40.0K<0.1%History
Lithium Americas Argentina Cor Com Shs53681K100Stock11,373$36.4K<0.1%–
SIRISirius XM Holdings Inc.COM10,506$29.7K<0.1%History
EVGNEvogene Ltd.SHS22,775$14.8K<0.1%History
LUMNLumen Technologies, Inc.Stock11,208$12.3K<0.1%History
TELLTellurian Inc.COM13,000$9.00K<0.1%History
KITTNauticus Robotics, Inc.COM20,000$2.72K<0.1%History