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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q4 2024

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

Institution overview
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
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20210,218$357<0.1%00.0%UnchangedHistory
WKSPWorksport LtdCOM NEW11,304$10.4K<0.1%+362+3.3%AddedHistory
CMLSQCumulus Media IncCOM CL A21,700$14.5K<0.1%−14,054−39.3%ReducedHistory
TLRYTilray Brands, Inc.COM CL 213,206$17.6K<0.1%+2,286+20.9%AddedHistory
DNNDenison Mines Corp.COM12,000$21.6K<0.1%00.0%UnchangedHistory
ZOMDFZomedica Corp.COM180,400$21.6K<0.1%00.0%UnchangedHistory
OPKOpko Health, Inc.COM17,972$26.4K<0.1%00.0%UnchangedHistory
PLGPlatinum Group Metals LtdCOM23,500$30.1K<0.1%+5,000+27.0%AddedHistory
Amplify ETF Tr032108631AMPLIFY ALTERNAT14,757$33.1K<0.1%+868+6.2%Added–
ACHVAchieve Life Sciences, Inc.COM10,600$37.3K<0.1%+10,600NewHistory
SBSafe Bulkers, Inc.COM11,785$42.1K<0.1%+20.0%AddedHistory
IBRXImmunityBio, Inc.COM17,000$43.5K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM20,207$49.3K<0.1%00.0%UnchangedHistory
JMIAJumia Technologies AGSPONSORED ADS13,048$49.8K<0.1%−598−4.4%ReducedHistory
IAFAbrdn Australia Equity Fund, Inc.COM12,100$50.7K<0.1%00.0%UnchangedHistory
PLUGPlug Power IncStock24,688$52.6K<0.1%−17,679−41.7%ReducedHistory
BBBLACKBERRY LtdCOM16,326$61.7K<0.1%00.0%UnchangedHistory
GABGabelli Equity Trust IncCOM11,832$63.7K<0.1%+28+0.2%AddedHistory
AGFirst Majestic Silver CorpCOM11,650$64.0K<0.1%−3,026−20.6%ReducedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,728$64.6K<0.1%−1,378−7.6%ReducedHistory
PHKPIMCO High Income FundCOM SHS15,070$73.2K<0.1%−19,484−56.4%ReducedHistory
AURAurora Innovation, Inc.CLASS A COM11,637$73.3K<0.1%+950+8.9%AddedHistory
NXHNeighborhood Intelligence, Inc.COM15,250$75.2K<0.1%+15,250NewHistory
UAUnder Armour, Inc.CL C10,933$81.6K<0.1%+10,933NewHistory
NATNordic American Tankers LtdCOM32,909$82.3K<0.1%+3,602+12.3%AddedHistory
MPTMedical Properties Trust IncCOM22,831$90.2K<0.1%−1,422−5.9%ReducedHistory
IGRCbre Global Real Estate Income FundCOM18,798$90.4K<0.1%+901+5.0%AddedHistory
LTRNLantern Pharma Inc.COM28,450$90.8K<0.1%−200−0.7%ReducedHistory
CIKCredit Suisse Asset Management Income Fund, Inc.COM31,435$90.8K<0.1%+139+0.4%AddedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,474$91.2K<0.1%00.0%UnchangedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS10,976$93.7K<0.1%+147+1.4%AddedHistory
INTSIntensity Therapeutics, Inc.COM54,837$96.5K<0.1%+7,093+14.9%AddedHistory
JPCNuveen Preferred & Income Opportunities FundCOM12,537$98.5K<0.1%+102+0.8%AddedHistory
CLFCleveland-Cliffs Inc.COM10,585$99.5K<0.1%−1,355−11.3%ReducedHistory
VMOInvesco Municipal Opportunity TrustCOM10,853$105.5K<0.1%+44+0.4%AddedHistory
FSCOFS Credit Opportunities Corp.COMMON STOCK15,732$107.3K<0.1%00.0%UnchangedHistory
iShares Global Clean Energy ETF464288224ETF10,186$115.9K<0.1%+72+0.7%Added–
PFLTPennantPark Floating Rate Capital Ltd.COM10,891$119.0K<0.1%+10,891NewHistory
EVVEaton Vance Ltd Duration Income FundCOM12,289$120.1K<0.1%+12,289NewHistory
SCWO374Water Inc.Common Stock183,960$125.6K<0.1%+48,767+36.1%AddedHistory
ACTUActuate Therapeutics, Inc.COM16,075$128.0K<0.1%+16,075NewHistory
HLHecla Mining CoCOM26,389$129.6K<0.1%+18+0.1%AddedHistory
VanEck ETF Trust92189F452MORTGAGE REIT12,450$132.2K<0.1%00.0%Unchanged–
SFLSFL Corp Ltd.SHS13,669$139.7K<0.1%−7,092−34.2%ReducedHistory
First Tr Exchange-Traded FD33735T109COMMON SHS12,587$141.7K<0.1%+734+6.2%Added–
UWMCUWM Holdings CorpCOM CL A24,521$143.9K<0.1%+24+0.1%AddedHistory
Golden Ocean Group LtdG39637205SHS NEW17,384$155.8K<0.1%−1,921−10.0%Reduced–
APTOAptose Biosciences Inc.COM703,384$158.5K<0.1%+301,634+75.1%AddedHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT19,143$161.0K<0.1%+5,691+42.3%AddedHistory
CLSKCleanspark, Inc.COM NEW17,518$161.3K<0.1%+1,865+11.9%AddedHistory
VSTSVestis CorpCOM SHS10,674$162.7K<0.1%−22−0.2%ReducedHistory
BBDCBarings BDC, Inc.COM17,861$170.9K<0.1%+2,352+15.2%AddedHistory
FLGFlagstar Bank, National AssociationStock18,334$171.1K<0.1%−204−1.1%ReducedHistory
EFREaton Vance Senior Floating-Rate TrustCOM13,415$171.7K<0.1%+16+0.1%AddedHistory
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$173.3K<0.1%–––
EZPWEzcorp IncCL A NON VTG14,356$175.4K<0.1%−130−0.9%ReducedHistory
RCATRed Cat Holdings, Inc.Stock13,684$175.8K<0.1%00.0%UnchangedHistory
Barrick Gold Corp067901108COM11,560$179.2K<0.1%−1,975−14.6%Reduced–
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM12,033$182.9K<0.1%+278+2.4%AddedHistory
LIVELive Ventures IncCOM NEW19,739$184.2K<0.1%+508+2.6%AddedHistory
RIOTRiot Platforms, Inc.COM18,539$189.3K<0.1%+102+0.6%AddedHistory
First Tr Exchange-Traded FD33734X838INDXX NAT RE ETF16,128$194.0K<0.1%−87,952−84.5%Reduced–
GNLGlobal Net Lease, Inc.COM NEW26,968$196.9K<0.1%−282−1.0%ReducedHistory
Innovator ETFs Trust45783Y681NASDAQ 100 MANA6,850$200.3K<0.1%+6,850New–
TSITCW Strategic Income Fund IncCOM41,952$201.8K<0.1%00.0%UnchangedHistory
NWLNewell Brands Inc.Stock20,276$201.9K<0.1%+954+4.9%AddedHistory
APAMArtisan Partners Asset Management Inc.CL A4,694$202.1K<0.1%+4,694NewHistory
YUMYum Brands IncStock1,516$203.4K<0.1%−228−13.1%ReducedHistory
VALValaris LtdCL A4,623$204.5K<0.1%−105−2.2%ReducedHistory
AB Active ETFs Inc00039J608HIGH YIELD ETF5,570$205.5K<0.1%+5,570New–
HAFNHafnia LtdCOMMON STOCK36,950$205.8K<0.1%+36,950NewHistory
PSNParsons CorpCOM2,236$206.3K<0.1%−3−0.1%ReducedHistory
EXPDExpeditors International of Washington IncCOM1,869$207.0K<0.1%−1,392−42.7%ReducedHistory
Innovator ETFs Trust45782C342US SML CP PWR ET6,342$207.4K<0.1%+70+1.1%Added–
Innovator ETFs Trust45782C649US EQTY ULTRA B5,897$207.6K<0.1%−4,049−40.7%Reduced–
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX1,964$208.3K<0.1%−372−15.9%Reduced–
ZSZscaler, Inc.Stock1,154$208.3K<0.1%+1,154NewHistory
Invesco Exch Traded FD Tr II46138G615INVESCO PHLX SM5,311$208.3K<0.1%+5,311New–
DHIHorton D R IncCOM1,493$208.8K<0.1%−398−21.0%ReducedHistory
CDECoeur Mining, Inc.COM NEW36,645$209.6K<0.1%−450−1.2%ReducedHistory
COFCapital One Financial CorpStock1,180$210.4K<0.1%−990−45.6%ReducedHistory
BDXBecton Dickinson & CoStock929$210.9K<0.1%−2,169−70.0%ReducedHistory
GLUGabelli Global Utility & Income TrustCOM SH BEN INT14,079$211.2K<0.1%−445−3.1%ReducedHistory
ODFLOld Dominion Freight Line, Inc.COM1,198$211.3K<0.1%−28−2.3%ReducedHistory
Amplify ETF Tr032108664AMPLIFY CYBERSEC2,838$211.4K<0.1%−694−19.6%Reduced–
Sprott FDS Tr85208P303URANIUM MINERS E5,250$211.6K<0.1%+154+3.0%Added–
AZOAutoZone IncCOM66$212.2K<0.1%−39−37.1%ReducedHistory
Vanguard Scottsdale FDS92206C623VNG RUS2000GRW1,013$212.8K<0.1%00.0%Unchanged–
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF5,700$213.3K<0.1%−648−10.2%Reduced–
WABWestinghouse Air Brake Technologies CorpStock1,126$213.4K<0.1%−7−0.6%ReducedHistory
iShares Tr464287739U.S. REAL ES ETF2,295$213.6K<0.1%−318−12.2%Reduced–
HCAHCA Healthcare, Inc.COM714$214.2K<0.1%+147+25.9%AddedHistory
Invesco Exch TRD SLF Idx FD46138J742RAFI STRATGIC US4,317$214.4K<0.1%+238+5.8%Added–
SRTSSensus Healthcare, Inc.COM31,000$214.5K<0.1%+31,000NewHistory
PDMPiedmont Realty Trust, Inc.COM CL A23,522$215.2K<0.1%−2,800−10.6%ReducedHistory
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL5,216$215.6K<0.1%+5,216New–
BRBroadridge Financial Solutions, Inc.Stock957$216.3K<0.1%+957NewHistory
ALLYAlly Financial Inc.Stock6,010$216.4K<0.1%−79−1.3%ReducedHistory
OCOwens CorningStock1,271$216.5K<0.1%−1−0.1%ReducedHistory
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL3,303$217.1K<0.1%−1,006−23.3%Reduced–

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
SecurityClassPutsCalls
OLEDUniversal Display CorpCOM$97.3K–
INTCIntel CorpStock–$52.2K
XRXXerox Holdings CorpCOM NEW$4.57K–
UBSUBS Group AGStock–$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
SecurityClassShares in Q3 2024Value in Q3 2024% of portfolio in Q3 2024History
SPDR Index Shs FDS78463X202ST STR EU 50 ETF71,422$3.80M0.1%–
CASYCaseys General Stores IncCOM6,146$2.31M0.1%History
First Tr Exchng Traded FD VI33740U208FT VEST US EQT45,014$2.17M0.1%–
VRSNVerisign IncCOM11,125$2.11M0.1%History
iShares Tr46434VBG4IBONDS DEC24 ETF69,545$1.75M0.1%–
CGCarlyle Group Inc.COM33,136$1.43M<0.1%History
First Tr Exchng Traded FD VI33740F516FT VEST US EQT35,574$1.35M<0.1%–
Innovator ETFs Trust45782C730US EQT ULTRA BF37,321$1.24M<0.1%–
VKTXViking Therapeutics, Inc.COM15,119$957.2K<0.1%History
Invesco Exch TRD SLF Idx FD46138J841BULSHS 2024 CB42,326$893.9K<0.1%–
EQIXEquinix IncCOM968$859.0K<0.1%History
iShares Tr46436E874IBONDS 24 TRM TS28,173$676.2K<0.1%–
Invesco Actively Managed Exc46090A879VAR RATE INVT23,863$598.6K<0.1%–
iShares Tr46435U184IBONDS 24 TRM HG23,449$546.1K<0.1%–
SPDR Series Trust78468R606ST PORT HIGH ETF21,559$518.5K<0.1%–
Capital Group Dividend Growe14021L109SHS ETF16,581$509.4K<0.1%–
BF.BBrown Forman CorpStock9,768$480.6K<0.1%History
HUNHuntsman CORPCOM18,964$458.9K<0.1%History
RVTRoyce Small-Cap Trust, Inc.COM28,972$454.9K<0.1%History
VMIValmont Industries IncCOM1,539$446.2K<0.1%History
iShares Tr464288273EAFE SML CP ETF6,538$442.6K<0.1%–
Simplify Exchange Traded Fun82889N632ENHANCED INM ETF18,476$433.2K<0.1%–
ZTRVirtus Total Return Fund Inc.COM68,650$425.6K<0.1%History
iShares Tr46434V290US SML CAP EQT6,200$411.4K<0.1%–
MROMarathon Oil CorpCOM15,299$407.4K<0.1%History
BMAMacro Bank Inc.SPON ADR B6,275$398.4K<0.1%History
Invesco Exchange Traded FD T46137V332S&P500 EQL HLT12,291$396.1K<0.1%–
Aim ETF Products Trust00888H646ALLIANZIM U S LA14,799$388.9K<0.1%–
Innovator ETFs Trust45782C367INTRNL DEV APRL13,292$377.7K<0.1%–
LEVILevi Strauss & CoCL A COM STK17,241$375.9K<0.1%History
First Tr Exchng Traded FD VI33740F763FT VEST US EQT7,693$373.6K<0.1%–
Innovator ETFs Trust45784N304US SMALL CAP POW14,375$366.7K<0.1%–
WFRDWeatherford International plcORD SHS4,317$366.6K<0.1%History
DGDollar General CorpCOM4,299$363.6K<0.1%History
Dimensional ETF Trust25434V823US REAL ESTA ETF14,117$362.0K<0.1%–
CARAvis Budget Group, Inc.COM4,025$352.6K<0.1%History
BKHBlack Hills CorpCOM5,571$340.5K<0.1%History
ILMNIllumina, Inc.COM2,559$333.7K<0.1%History
iShares Tr464289420RUS TP200 VL ETF3,856$313.4K<0.1%–
iShares Tr46435G524INTL DIV GRWTH4,201$313.3K<0.1%–
ADMAAdma Biologics, Inc.COM15,000$299.9K<0.1%History
ETF Ser Solutions26922A172NATIONWIDE RSK11,182$285.6K<0.1%–
Innovator ETFs Trust45782C748US EQTY PWR BUF7,709$284.3K<0.1%–
DINOHF Sinclair CorpCOM6,309$281.2K<0.1%History
iShares 1-10 Year U.S. Aggregate Bond ETF464288596ETF2,632$281.2K<0.1%–
CFLTConfluent, Inc.CLASS A COM13,639$278.0K<0.1%History
BLDRBuilders FirstSource, Inc.Stock1,432$277.6K<0.1%History
Nushares ETF Tr67092P201NUVEEN ESG LRGCP3,355$277.2K<0.1%–
ASPNAspen Aerogels IncCOM9,880$273.6K<0.1%History
NEMNEWMONT CorpStock5,083$271.7K<0.1%History
iShares Core MSCI Europe ETF46434V738ETF4,387$267.3K<0.1%–
SPDR Series Trust78468R861STATE STRET SPDR13,943$264.2K<0.1%–
STRSitio Royalties Corp.CLASS A COM12,564$261.8K<0.1%History
PINSPinterest, Inc.CL A8,047$260.5K<0.1%History
PHMPultegroup IncCOM1,802$258.6K<0.1%History
UHSUniversal Health Services IncCL B1,119$256.4K<0.1%History
Fidelity MSCI Materials Index ETF316092881ETF4,728$256.3K<0.1%–
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG11,750$252.6K<0.1%–
Vanguard Mun BD FDS922907738INTERMEDIATE TRM2,475$250.4K<0.1%–
MURMurphy Oil CorpCOM7,395$249.5K<0.1%History
ICLRIcon PLCCOM852$244.8K<0.1%History
MGMMGM Resorts InternationalStock6,186$241.8K<0.1%History
NGGNational Grid PLCSPONSORED ADR NE3,467$241.5K<0.1%History
SOLVSolventum CorpStock3,450$240.6K<0.1%History
First Tr Exchange-Traded FD33734X168MATERIALS ALPH3,571$239.4K<0.1%–
PSAPublic StorageCOM654$238.0K<0.1%History
Cambria ETF Tr132061300CAMBRIA FGN SHR8,524$237.4K<0.1%–
BHPBHP Group LtdADR3,767$234.7K<0.1%History
WBSWebster Financial CorpCOM5,029$234.4K<0.1%History
WDAYWorkday, Inc.CL A954$233.2K<0.1%History
iShares Tr464288612INTRM GOV CR ETF2,173$232.7K<0.1%–
LUVSouthwest Airlines CoCOM7,843$232.4K<0.1%History
LKQLKQ CorpCOM5,813$232.1K<0.1%History
NBIXNeurocrine Biosciences IncStock2,000$230.4K<0.1%History
Etfis Ser Tr I26923G772INFRAC ACT MLP5,517$223.9K<0.1%–
PPLPPL CorpCOM6,730$222.6K<0.1%History
OMCOmnicom Group Inc.COM2,153$222.6K<0.1%History
SCCOSouthern Copper CorpStock1,914$221.3K<0.1%History
First Tr Exchng Traded FD VI33740F847FT VEST US EQT4,660$219.8K<0.1%–
EBAYeBay IncCOM3,328$216.7K<0.1%History
iShares MSCI Eafe Min Vol Factor ETF46429B689ETF2,811$215.6K<0.1%–
HIGHartford Insurance Group, Inc.Stock1,825$214.6K<0.1%History
JDJD.com, Inc.SPON ADS CL A5,363$214.5K<0.1%History
SYBTStock Yards Bancorp, Inc.COM3,455$214.2K<0.1%History
NMAINuveen Multi-Asset Income FundCOM16,167$213.7K<0.1%History
OTISOtis Worldwide CorpStock2,048$212.9K<0.1%History
GPKGraphic Packaging Holding CoCOM7,145$211.4K<0.1%History
CNCCentene CorpStock2,803$211.0K<0.1%History
MCHPMicrochip Technology IncStock2,621$210.5K<0.1%History
ENPHEnphase Energy, Inc.Stock1,859$210.1K<0.1%History
RRyder System IncCOM1,429$208.4K<0.1%History
AEMAgnico Eagle Mines LtdStock2,580$207.9K<0.1%History
Vanguard Admiral FDS Inc921932885MIDCP 400 IDX1,963$207.4K<0.1%–
GNRCGenerac Holdings Inc.Stock1,302$206.8K<0.1%History
KEYKeycorpCOM12,285$205.8K<0.1%History
First Tr Exchng Traded FD VI33740F862FT VEST US EQT4,474$204.7K<0.1%–
First Tr Exchng Traded FD VI33740F276FT ENER INCO ETF10,546$204.1K<0.1%–
Invesco Exch Traded FD Tr II46138E537NATL AMT MUNI8,426$203.5K<0.1%–
Abrdn ETFs003261104BBRG ALL COMD K19,935$203.1K<0.1%–
iShares Esg Aware US Aggregate Bond ETF46435U549ETF4,174$202.8K<0.1%–