Sigma Planning Corp

SEC CIK: 0001449126
Latest filing: Aug 7, 2026

SEC filings (opens in a new tab)

Holdings in Q4 2024

Holdings as of Dec 31, 2024, filed Feb 3, 2025. Long positions only; changes compare share counts with Q3 2024.

Positions: 1,158; −47 vs. Q3 2024
Portfolio value: $3.18B; −$79.7M (−2.4%) vs. Q3 2024
Filed: Feb 3, 2025; SEC

Holdings of Sigma Planning Corp in Q4 2024
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
iShares Core S&P 500 ETF464287200	ETF	333,448	$196.3M	6.2%	−610−0.2%	Reduced	–
AAPLApple Inc.	Stock	693,734	$173.7M	5.5%	−15,705−2.2%	Reduced	History
NVDANVIDIA Corp	Stock	682,184	$91.6M	2.9%	+4,204+0.6%	Added	History
AMZNAmazon Com Inc	Stock	334,488	$73.4M	2.3%	−23,606−6.6%	Reduced	History
Invesco QQQ Trust Series I46090E103	ETF	138,533	$70.8M	2.2%	−5,898−4.1%	Reduced	–
MSFTMicrosoft Corp	Stock	149,276	$62.9M	2.0%	−9,785−6.2%	Reduced	History
SPYSPDR S&P 500 ETF Trust	ETF	93,127	$54.6M	1.7%	−16,433−15.0%	Reduced	History
Vanguard S&P 500 ETF922908363	ETF	97,625	$52.6M	1.7%	−90.0%	Reduced	–
iShares S&P 500 Growth ETF464287309	ETF	470,456	$47.8M	1.5%	−36,257−7.2%	Reduced	–
iShares Core Dividend Growth ETF46434V621	ETF	604,730	$37.1M	1.2%	−44,819−6.9%	Reduced	–
iShares Iboxx $ Investment Grade Corporate Bond ETF464287242	ETF	306,697	$32.8M	1.0%	−10,368−3.3%	Reduced	–
Pacer US Cash Cows 100 ETF69374H881	ETF	540,958	$30.6M	1.0%	−43,363−7.4%	Reduced	–
GOOGAlphabet Inc.	Stock	146,329	$27.9M	0.9%	−10,410−6.6%	Reduced	History
BRK.BBerkshire Hathaway Inc	Stock	58,605	$26.6M	0.8%	−3,679−5.9%	Reduced	History
Schwab U.S. Large-Cap Growth ETF808524300	ETF	943,852	$26.3M	0.8%	+96,480+11.4%	AddedConverted for a 4-for-1 split	–
Schwab US Dividend Equity ETF808524797	ETF	907,541	$24.8M	0.8%	+17,732+2.0%	AddedConverted for a 3-for-1 split	–
iShares Core S&P Mid-Cap ETF464287507	ETF	378,925	$23.6M	0.7%	+7,534+2.0%	Added	–
iShares Core S&P Small Cap ETF464287804	ETF	199,779	$23.0M	0.7%	+669+0.3%	Added	–
iShares S&P 500 Value ETF464287408	ETF	108,186	$20.7M	0.6%	−4,636−4.1%	Reduced	–
iShares Tr464287457	1 3 YR TREAS BD	234,399	$19.2M	0.6%	+16,090+7.4%	Added	–
METAMeta Platforms, Inc.	Stock	32,632	$19.1M	0.6%	+1,685+5.4%	Added	History
ABBVAbbVie Inc.	Stock	107,138	$19.0M	0.6%	−2,324−2.1%	Reduced	History
VanEck Morningstar Wide Moat ETF92189F643	ETF	201,474	$18.7M	0.6%	+2,866+1.4%	Added	–
First Tr Exchange Traded FD33741X102	SMID RISNG ETF	521,050	$18.7M	0.6%	+96,286+22.7%	Added	–
TSLATesla, Inc.	Stock	44,354	$17.9M	0.6%	+3,622+8.9%	Added	History
iShares Tr464289511	10+ YR INVST GRD	349,126	$17.2M	0.5%	−11,055−3.1%	Reduced	–
iShares Core U.S. Aggregate Bond ETF464287226	ETF	177,651	$17.2M	0.5%	−8,593−4.6%	Reduced	–
JPMJPMorgan Chase & Co	Stock	70,958	$17.0M	0.5%	−36−0.1%	Reduced	History
Invesco Exchange Traded FD T46137V357	S&P500 EQL WGT	90,158	$15.8M	0.5%	+3,306+3.8%	Added	–
COSTCostco Wholesale Corp	Stock	17,111	$15.7M	0.5%	−124−0.7%	Reduced	History
GOOGLAlphabet Inc.	Stock	82,388	$15.6M	0.5%	+1,026+1.3%	Added	History
GLDSPDR Gold Trust	ETF	61,312	$14.8M	0.5%	−12,191−16.6%	Reduced	History
HDHome Depot, Inc.	Stock	37,693	$14.7M	0.5%	+5,471+17.0%	Added	History
First Tr Exchng Traded FD VI33740F755	FT LADD BUFF ETF	476,939	$14.5M	0.5%	+58,026+13.9%	Added	–
iShares Tr464287572	GLOBAL 100 ETF	140,855	$14.2M	0.4%	−22,640−13.8%	Reduced	–
AVGOBroadcom Inc.	Stock	61,019	$14.1M	0.4%	+760+1.3%	Added	History
iShares Tr464288414	NATIONAL MUN ETF	132,706	$14.1M	0.4%	−12,206−8.4%	Reduced	–
iShares MSCI USA Min Vol Factor ETF46429B697	ETF	156,650	$13.9M	0.4%	−5,091−3.1%	Reduced	–
LLYEli Lilly & Co	Stock	17,339	$13.4M	0.4%	−1,382−7.4%	Reduced	History
Vanguard Morningstar Total Stock Market ETF922908769	ETF	46,037	$13.3M	0.4%	−1,252−2.6%	Reduced	–
Schwab U.S. Large-Cap ETF808524201	ETF	573,815	$13.3M	0.4%	−3,124−0.5%	ReducedConverted for a 3-for-1 split	–
iShares MSCI USA Quality Factor ETF46432F339	ETF	73,676	$13.1M	0.4%	+3,222+4.6%	Added	–
iShares Tr464288638	ISHS 5-10YR INVT	252,653	$13.0M	0.4%	+574+0.2%	Added	–
iShares Tr46429B655	FLTG RATE NT ETF	246,209	$12.5M	0.4%	−51,359−17.3%	Reduced	–
VVisa Inc.	Stock	38,920	$12.3M	0.4%	−1,404−3.5%	Reduced	History
J P Morgan Exchange Traded F46641Q332	EQUITY PREMIUM	213,102	$12.3M	0.4%	−59,209−21.7%	Reduced	–
State Street Technology Select Sector SPDR ETF81369Y803	ETF	51,624	$12.0M	0.4%	+865+1.7%	Added	–
iShares Core S&P US Value ETF464287663	ETF	125,729	$11.6M	0.4%	+7,618+6.4%	Added	–
Vanguard Morningstar Value ETF922908744	ETF	68,693	$11.6M	0.4%	+580+0.9%	Added	–
PGProcter & Gamble Co	Stock	59,525	$9.98M	0.3%	−9,848−14.2%	Reduced	History
Capital Group Dividend Value14020W106	SHS CREAT UNIT	282,413	$9.96M	0.3%	−10,010−3.4%	Reduced	–
iShares Tr464288307	MRGSTR MD CP GRW	131,788	$9.95M	0.3%	+13,134+11.1%	Added	–
Vanguard Intermediate-Term Bond ETF921937819	ETF	133,040	$9.94M	0.3%	−20,453−13.3%	Reduced	–
First Tr Exchng Traded FD VI33740F805	SMITH OPPORT FXD	230,210	$9.89M	0.3%	−113,367−33.0%	Reduced	–
WMTWalmart Inc.	Stock	108,496	$9.80M	0.3%	−21,280−16.4%	Reduced	History
CATCaterpillar Inc	Stock	26,353	$9.56M	0.3%	+1,508+6.1%	Added	History
iShares Core MSCI Eafe ETF46432F842	ETF	135,084	$9.49M	0.3%	−88−0.1%	Reduced	–
XOMExxonMobil Holdings Corp	COM	86,544	$9.31M	0.3%	−4,641−5.1%	Reduced	History
JNJJohnson & Johnson	Stock	60,619	$8.77M	0.3%	−1,574−2.5%	Reduced	History
CRMSalesforce, Inc.	Stock	25,620	$8.57M	0.3%	+617+2.5%	Added	History
VZVerizon Communications Inc	Stock	210,952	$8.44M	0.3%	−28,619−11.9%	Reduced	History
First Tr Exchange Traded FD33738R118	NASD TECH DIV	106,605	$8.36M	0.3%	+4,401+4.3%	Added	–
NEENextera Energy Inc	Stock	114,802	$8.23M	0.3%	−5,203−4.3%	Reduced	History
CVXChevron Corp	Stock	56,810	$8.23M	0.3%	+6,515+13.0%	Added	History
Vanguard Total International Bond ETF92203J407	ETF	166,984	$8.19M	0.3%	−11,768−6.6%	Reduced	–
First Tr Exchange Traded FD33738R605	DORSEY WRT 5 ETF	138,366	$8.17M	0.3%	+14,356+11.6%	Added	–
First Tr Exchange Traded FD33738R704	RBA INDL ETF	105,244	$8.11M	0.3%	+5,418+5.4%	Added	–
State Street Health Care Select Sector SPDR ETF81369Y209	ETF	58,615	$8.06M	0.3%	−627−1.1%	Reduced	–
First Trust Rising Dividend Achievers ETF33738R506	ETF	135,279	$8.00M	0.3%	−825−0.6%	Reduced	–
IBMInternational Business Machines Corp	Stock	36,103	$7.94M	0.2%	+1,972+5.8%	Added	History
ABTAbbott Laboratories	Stock	70,070	$7.93M	0.2%	−2,763−3.8%	Reduced	History
iShares Tr464287150	CORE S&P TTL STK	61,189	$7.87M	0.2%	−3,265−5.1%	Reduced	–
IAUiShares Gold Trust	ETF	157,746	$7.81M	0.2%	+17,016+12.1%	Added	History
WMWaste Management Inc	Stock	38,330	$7.73M	0.2%	−8,304−17.8%	Reduced	History
State Street Financial Select Sector SPDR ETF81369Y605	ETF	157,522	$7.61M	0.2%	−11,549−6.8%	Reduced	–
Fidelity Merrimack STR Tr316188309	TOTAL BD ETF	169,326	$7.60M	0.2%	+6,481+4.0%	Added	–
Vanguard Dividend Appreciation ETF921908844	ETF	38,730	$7.58M	0.2%	+39+0.1%	Added	–
First Tr Exchange-Traded FD33739Q705	FT VEST S&P 500	148,301	$7.45M	0.2%	−1,249−0.8%	Reduced	–
UNHUnitedHealth Group Inc	Stock	14,591	$7.38M	0.2%	−481−3.2%	Reduced	History
Vanguard Ftse Developed Markets ETF921943858	ETF	154,190	$7.37M	0.2%	+4,116+2.7%	Added	–
iShares S&P Small-Cap 600 Growth ETF464287887	ETF	54,083	$7.32M	0.2%	−56−0.1%	Reduced	–
Pacer FDS Tr69374H568	SWAN SOS FD OF	248,980	$7.29M	0.2%	+95,154+61.9%	Added	–
Bondbloxx ETF Trust09789C788	BLOOMBERG SIX MN	142,103	$7.13M	0.2%	−14,759−9.4%	Reduced	–
First Tr Exchange-Traded FD33739Q200	FST LOW OPPT EFT	144,196	$7.02M	0.2%	−28,141−16.3%	Reduced	–
Vanguard Scottsdale FDS92206C409	SHRT TRM CORP BD	89,948	$7.02M	0.2%	−34,745−27.9%	Reduced	–
Pinnacle Focused Opportuniti88634T519	ETP	237,815	$6.84M	0.2%	+69,348+41.2%	Added	–
Fidelity MSCI Health Care Index ETF316092600	ETF	102,311	$6.69M	0.2%	+1,000+1.0%	Added	–
First Tr Exch Traded FD III33739E108	PFD SECS INC ETF	376,037	$6.66M	0.2%	+15,851+4.4%	Added	–
DTEDte Energy Co	COM	55,001	$6.64M	0.2%	−373−0.7%	Reduced	History
iShares Core High Dividend ETF46429B663	ETF	59,002	$6.62M	0.2%	+631+1.1%	Added	–
First Tr Exchange-Traded FD33733E104	CAP STRENGTH ETF	75,142	$6.60M	0.2%	−12,629−14.4%	Reduced	–
PLTRPalantir Technologies Inc.	Stock	85,659	$6.48M	0.2%	+18,286+27.1%	Added	History
iShares Tr46436E718	0-3 MTH TREASURY	62,880	$6.31M	0.2%	−7,866−11.1%	Reduced	–
First Tr Exchange-Traded FD33733E823	GROWTH STRENGTH	198,903	$6.25M	0.2%	+29,614+17.5%	Added	–
State Street Utilities Select Sector SPDR ETF81369Y886	ETF	82,459	$6.24M	0.2%	−10,125−10.9%	Reduced	–
VanEck Semiconductor ETF92189F676	ETF	25,553	$6.19M	0.2%	+696+2.8%	Added	–
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375	ETF	186,464	$6.11M	0.2%	+7,810+4.4%	Added	–
Vanguard Morningstar Mid-Cap ETF922908629	ETF	22,861	$6.04M	0.2%	−314−1.4%	Reduced	–
iShares Tr46435U853	BROAD USD HIGH	163,973	$6.03M	0.2%	+4,215+2.6%	Added	–
iShares Broad Usd Investment Grade Corporate Bond ETF464288620	ETF	119,635	$6.02M	0.2%	+2,483+2.1%	Added	–

Options (4)

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 2024
Security	Class	Puts	Calls
OLEDUniversal Display Corp	COM	$97.3K	–
INTCIntel Corp	Stock	–	$52.2K
XRXXerox Holdings Corp	COM NEW	$4.57K	–
UBSUBS Group AG	Stock	–	$250

Sold out since Q3 2024 (113)

Positions held at the end of Q3 2024 that are gone from this filing.

The largest 100 of 113 by value last quarter.

Positions of Sigma Planning Corp sold out since Q3 2024
Security	Class	Shares in Q3 2024	Value in Q3 2024	% of portfolio in Q3 2024	History
SPDR Index Shs FDS78463X202	ST STR EU 50 ETF	71,422	$3.80M	0.1%	–
CASYCaseys General Stores Inc	COM	6,146	$2.31M	0.1%	History
First Tr Exchng Traded FD VI33740U208	FT VEST US EQT	45,014	$2.17M	0.1%	–
VRSNVerisign Inc	COM	11,125	$2.11M	0.1%	History
iShares Tr46434VBG4	IBONDS DEC24 ETF	69,545	$1.75M	0.1%	–
CGCarlyle Group Inc.	COM	33,136	$1.43M	<0.1%	History
First Tr Exchng Traded FD VI33740F516	FT VEST US EQT	35,574	$1.35M	<0.1%	–
Innovator ETFs Trust45782C730	US EQT ULTRA BF	37,321	$1.24M	<0.1%	–
VKTXViking Therapeutics, Inc.	COM	15,119	$957.2K	<0.1%	History
Invesco Exch TRD SLF Idx FD46138J841	BULSHS 2024 CB	42,326	$893.9K	<0.1%	–
EQIXEquinix Inc	COM	968	$859.0K	<0.1%	History
iShares Tr46436E874	IBONDS 24 TRM TS	28,173	$676.2K	<0.1%	–
Invesco Actively Managed Exc46090A879	VAR RATE INVT	23,863	$598.6K	<0.1%	–
iShares Tr46435U184	IBONDS 24 TRM HG	23,449	$546.1K	<0.1%	–
SPDR Series Trust78468R606	ST PORT HIGH ETF	21,559	$518.5K	<0.1%	–
Capital Group Dividend Growe14021L109	SHS ETF	16,581	$509.4K	<0.1%	–
BF.BBrown Forman Corp	Stock	9,768	$480.6K	<0.1%	History
HUNHuntsman CORP	COM	18,964	$458.9K	<0.1%	History
RVTRoyce Small-Cap Trust, Inc.	COM	28,972	$454.9K	<0.1%	History
VMIValmont Industries Inc	COM	1,539	$446.2K	<0.1%	History
iShares Tr464288273	EAFE SML CP ETF	6,538	$442.6K	<0.1%	–
Simplify Exchange Traded Fun82889N632	ENHANCED INM ETF	18,476	$433.2K	<0.1%	–
ZTRVirtus Total Return Fund Inc.	COM	68,650	$425.6K	<0.1%	History
iShares Tr46434V290	US SML CAP EQT	6,200	$411.4K	<0.1%	–
MROMarathon Oil Corp	COM	15,299	$407.4K	<0.1%	History
BMAMacro Bank Inc.	SPON ADR B	6,275	$398.4K	<0.1%	History
Invesco Exchange Traded FD T46137V332	S&P500 EQL HLT	12,291	$396.1K	<0.1%	–
Aim ETF Products Trust00888H646	ALLIANZIM U S LA	14,799	$388.9K	<0.1%	–
Innovator ETFs Trust45782C367	INTRNL DEV APRL	13,292	$377.7K	<0.1%	–
LEVILevi Strauss & Co	CL A COM STK	17,241	$375.9K	<0.1%	History
First Tr Exchng Traded FD VI33740F763	FT VEST US EQT	7,693	$373.6K	<0.1%	–
Innovator ETFs Trust45784N304	US SMALL CAP POW	14,375	$366.7K	<0.1%	–
WFRDWeatherford International plc	ORD SHS	4,317	$366.6K	<0.1%	History
DGDollar General Corp	COM	4,299	$363.6K	<0.1%	History
Dimensional ETF Trust25434V823	US REAL ESTA ETF	14,117	$362.0K	<0.1%	–
CARAvis Budget Group, Inc.	COM	4,025	$352.6K	<0.1%	History
BKHBlack Hills Corp	COM	5,571	$340.5K	<0.1%	History
ILMNIllumina, Inc.	COM	2,559	$333.7K	<0.1%	History
iShares Tr464289420	RUS TP200 VL ETF	3,856	$313.4K	<0.1%	–
iShares Tr46435G524	INTL DIV GRWTH	4,201	$313.3K	<0.1%	–
ADMAAdma Biologics, Inc.	COM	15,000	$299.9K	<0.1%	History
ETF Ser Solutions26922A172	NATIONWIDE RSK	11,182	$285.6K	<0.1%	–
Innovator ETFs Trust45782C748	US EQTY PWR BUF	7,709	$284.3K	<0.1%	–
DINOHF Sinclair Corp	COM	6,309	$281.2K	<0.1%	History
iShares 1-10 Year U.S. Aggregate Bond ETF464288596	ETF	2,632	$281.2K	<0.1%	–
CFLTConfluent, Inc.	CLASS A COM	13,639	$278.0K	<0.1%	History
BLDRBuilders FirstSource, Inc.	Stock	1,432	$277.6K	<0.1%	History
Nushares ETF Tr67092P201	NUVEEN ESG LRGCP	3,355	$277.2K	<0.1%	–
ASPNAspen Aerogels Inc	COM	9,880	$273.6K	<0.1%	History
NEMNEWMONT Corp	Stock	5,083	$271.7K	<0.1%	History
iShares Core MSCI Europe ETF46434V738	ETF	4,387	$267.3K	<0.1%	–
SPDR Series Trust78468R861	STATE STRET SPDR	13,943	$264.2K	<0.1%	–
STRSitio Royalties Corp.	CLASS A COM	12,564	$261.8K	<0.1%	History
PINSPinterest, Inc.	CL A	8,047	$260.5K	<0.1%	History
PHMPultegroup Inc	COM	1,802	$258.6K	<0.1%	History
UHSUniversal Health Services Inc	CL B	1,119	$256.4K	<0.1%	History
Fidelity MSCI Materials Index ETF316092881	ETF	4,728	$256.3K	<0.1%	–
Invesco Exch Traded FD Tr II46138E784	EMRNG MKT SVRG	11,750	$252.6K	<0.1%	–
Vanguard Mun BD FDS922907738	INTERMEDIATE TRM	2,475	$250.4K	<0.1%	–
MURMurphy Oil Corp	COM	7,395	$249.5K	<0.1%	History
ICLRIcon PLC	COM	852	$244.8K	<0.1%	History
MGMMGM Resorts International	Stock	6,186	$241.8K	<0.1%	History
NGGNational Grid PLC	SPONSORED ADR NE	3,467	$241.5K	<0.1%	History
SOLVSolventum Corp	Stock	3,450	$240.6K	<0.1%	History
First Tr Exchange-Traded FD33734X168	MATERIALS ALPH	3,571	$239.4K	<0.1%	–
PSAPublic Storage	COM	654	$238.0K	<0.1%	History
Cambria ETF Tr132061300	CAMBRIA FGN SHR	8,524	$237.4K	<0.1%	–
BHPBHP Group Ltd	ADR	3,767	$234.7K	<0.1%	History
WBSWebster Financial Corp	COM	5,029	$234.4K	<0.1%	History
WDAYWorkday, Inc.	CL A	954	$233.2K	<0.1%	History
iShares Tr464288612	INTRM GOV CR ETF	2,173	$232.7K	<0.1%	–
LUVSouthwest Airlines Co	COM	7,843	$232.4K	<0.1%	History
LKQLKQ Corp	COM	5,813	$232.1K	<0.1%	History
NBIXNeurocrine Biosciences Inc	Stock	2,000	$230.4K	<0.1%	History
Etfis Ser Tr I26923G772	INFRAC ACT MLP	5,517	$223.9K	<0.1%	–
PPLPPL Corp	COM	6,730	$222.6K	<0.1%	History
OMCOmnicom Group Inc.	COM	2,153	$222.6K	<0.1%	History
SCCOSouthern Copper Corp	Stock	1,914	$221.3K	<0.1%	History
First Tr Exchng Traded FD VI33740F847	FT VEST US EQT	4,660	$219.8K	<0.1%	–
EBAYeBay Inc	COM	3,328	$216.7K	<0.1%	History
iShares MSCI Eafe Min Vol Factor ETF46429B689	ETF	2,811	$215.6K	<0.1%	–
HIGHartford Insurance Group, Inc.	Stock	1,825	$214.6K	<0.1%	History
JDJD.com, Inc.	SPON ADS CL A	5,363	$214.5K	<0.1%	History
SYBTStock Yards Bancorp, Inc.	COM	3,455	$214.2K	<0.1%	History
NMAINuveen Multi-Asset Income Fund	COM	16,167	$213.7K	<0.1%	History
OTISOtis Worldwide Corp	Stock	2,048	$212.9K	<0.1%	History
GPKGraphic Packaging Holding Co	COM	7,145	$211.4K	<0.1%	History
CNCCentene Corp	Stock	2,803	$211.0K	<0.1%	History
MCHPMicrochip Technology Inc	Stock	2,621	$210.5K	<0.1%	History
ENPHEnphase Energy, Inc.	Stock	1,859	$210.1K	<0.1%	History
RRyder System Inc	COM	1,429	$208.4K	<0.1%	History
AEMAgnico Eagle Mines Ltd	Stock	2,580	$207.9K	<0.1%	History
Vanguard Admiral FDS Inc921932885	MIDCP 400 IDX	1,963	$207.4K	<0.1%	–
GNRCGenerac Holdings Inc.	Stock	1,302	$206.8K	<0.1%	History
KEYKeycorp	COM	12,285	$205.8K	<0.1%	History
First Tr Exchng Traded FD VI33740F862	FT VEST US EQT	4,474	$204.7K	<0.1%	–
First Tr Exchng Traded FD VI33740F276	FT ENER INCO ETF	10,546	$204.1K	<0.1%	–
Invesco Exch Traded FD Tr II46138E537	NATL AMT MUNI	8,426	$203.5K	<0.1%	–
Abrdn ETFs003261104	BBRG ALL COMD K1	9,935	$203.1K	<0.1%	–
iShares Esg Aware US Aggregate Bond ETF46435U549	ETF	4,174	$202.8K	<0.1%	–