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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
TXTTextron IncCOM4,790$366.4K<0.1%−1,309−21.5%ReducedHistory
MPLXMPLX LPCOM UNIT REP LTD7,690$368.1K<0.1%+1,171+18.0%AddedHistory
IONQIonQ, Inc.COM8,837$369.1K<0.1%+8,837NewHistory
HUMHumana IncStock1,456$369.3K<0.1%+800+122.0%AddedHistory
Hartford FDS Exchange Traded41653L503MUN OPORTUNITE9,566$369.8K<0.1%+71+0.7%Added–
First Tr Exchng Traded FD VI33740U869FT VEST INT JUNE17,139$370.0K<0.1%+1,764+11.5%Added–
American Centy ETF Tr025072505DIVERSIFIED MU7,394$370.7K<0.1%+82+1.1%Added–
First Tr Exchng Traded FD VI33740F573FT VEST INTER EQ16,291$371.3K<0.1%+1,612+11.0%Added–
First Tr Exchng Traded FD VI33740U828FT VEST INT EQ M17,115$371.4K<0.1%+1,647+10.6%Added–
First Tr Exchng Traded FD VI33740F466FT VEST U.S15,025$372.5K<0.1%+785+5.5%Added–
First Tr Exchng Traded FD VI33740F417FT VEST U.S15,813$372.7K<0.1%+838+5.6%Added–
First Tr Exchng Traded FD VI33740F292FT VEST US SMALL17,358$373.4K<0.1%+887+5.4%Added–
MASMasco CorpCOM5,164$374.7K<0.1%−510−9.0%ReducedHistory
Fidelity Covington Trust316092790QLTY FCTOR ETF5,742$375.7K<0.1%+418+7.9%Added–
PCNPIMCO Corporate & Income Strategy FundCOM28,071$376.7K<0.1%+409+1.5%AddedHistory
HSYHershey CoCOM2,234$378.3K<0.1%+412+22.6%AddedHistory
Innovator ETFs Trust45782C433US EQTY BUFR FEB8,796$378.9K<0.1%00.0%Unchanged–
State Street SPDR S&P Regional Banking ETF78464A698ETF6,283$379.2K<0.1%+2,562+68.9%Added–
First Tr Exchng Traded FD VI33740F722FT VEST US EQT7,396$380.0K<0.1%00.0%Unchanged–
WisdomTree Tr97717Y527FLOATNG RAT TREA7,593$382.1K<0.1%−547−6.7%Reduced–
Innovator ETFs Trust45782C318US EQTY PWR BUF10,645$382.2K<0.1%−5,957−35.9%Reduced–
GIBCgi IncCL A3,503$382.9K<0.1%+2+0.1%AddedHistory
iShares Tr464288851US OIL GS EX ETF4,273$383.0K<0.1%+99+2.4%Added–
WPCW. P. Carey Inc.COM7,033$383.1K<0.1%−1,128−13.8%ReducedHistory
Invesco Exch TRD SLF Idx FD46138J791BULSHS 2026 CB19,724$383.2K<0.1%+19,724New–
ABRArbor Realty Trust IncCOM27,983$387.6K<0.1%+455+1.7%AddedHistory
MSCIMSCI Inc.Stock646$387.8K<0.1%+32+5.2%AddedHistory
LULUlululemon athletica inc.Stock1,015$388.2K<0.1%−61−5.7%ReducedHistory
Global X FDS37954Y848GLOBAL X SILVER12,234$388.7K<0.1%+1,280+11.7%Added–
ESTCElastic N.V.ORD SHS3,929$389.3K<0.1%+139+3.7%AddedHistory
IMOImperial Oil LtdCOM NEW6,336$390.3K<0.1%−1,441−18.5%ReducedHistory
Invesco Exch Traded FD Tr II46138E339S&P 500 MOMNTM4,114$390.9K<0.1%−588−12.5%Reduced–
CRHCRH Public Ltd CoORD4,229$391.3K<0.1%−109−2.5%ReducedHistory
PRPermian Resources CorpCLASS A COM27,241$391.7K<0.1%+5,020+22.6%AddedHistory
DFSDiscover Financial ServicesCOM2,295$397.5K<0.1%+47+2.1%AddedHistory
DOVDOVER CorpCOM2,137$401.0K<0.1%+45+2.2%AddedHistory
CRCrane CoCOMMON STOCK2,645$401.4K<0.1%00.0%UnchangedHistory
DKNGDraftKings Inc.Stock10,826$402.7K<0.1%−365−3.3%ReducedHistory
SLBSLB LimitedStock10,592$406.1K<0.1%+129+1.2%AddedHistory
Invesco Exch Traded FD Tr II46138G805TAXABLE MUN BD15,605$408.1K<0.1%−30,021−65.8%Reduced–
GSLGlobal Ship Lease, Inc.COM CL A18,725$408.8K<0.1%−2,415−11.4%ReducedHistory
NVSNovartis AGADR4,218$410.4K<0.1%−1,012−19.3%ReducedHistory
AMAntero Midstream CorpStock27,308$412.1K<0.1%−3,494−11.3%ReducedHistory
T Rowe Price ETF Inc87283Q305PRICE GRW STOCK10,383$413.2K<0.1%+2,664+34.5%Added–
Invesco Exchange Traded FD T46137V480S&P SMCP VLU MNT7,601$414.1K<0.1%+690+10.0%Added–
Global X FDS37954Y475S&P 500 COVERED9,898$414.7K<0.1%−46,008−82.3%Reduced–
ASMLASML Holding NVADR598$414.8K<0.1%+54+9.9%AddedHistory
LYBLyondellBasell Industries N.V.SHS - A -5,610$416.6K<0.1%+5,610NewHistory
GPCGenuine Parts CoStock3,576$417.6K<0.1%+608+20.5%AddedHistory
Invesco Exchange Traded FD T46137V456S&P MDCP VLU MNT7,552$418.5K<0.1%−1,550−17.0%Reduced–
ESPREsperion Therapeutics, Inc.COM190,441$419.0K<0.1%+178,200+1,455.8%AddedHistory
Fidelity Covington Trust316092824LOW VOLITY ETF6,918$419.2K<0.1%+114+1.7%Added–
iShares Tr464288448INTL SEL DIV ETF15,373$420.9K<0.1%+414+2.8%Added–
First Trust Financials Alphadex Fund33734X135ETF7,782$421.2K<0.1%−90−1.1%Reduced–
CINFCincinnati Financial CorpCOM2,937$422.0K<0.1%+341+13.1%AddedHistory
APOApollo Global Management, Inc.COM2,557$422.3K<0.1%+16+0.6%AddedHistory
HBANHuntington Bancshares IncCOM25,988$422.8K<0.1%−10,395−28.6%ReducedHistory
PEverpure, Inc.CL A6,895$423.6K<0.1%−136−1.9%ReducedHistory
WisdomTree Tr97717W422INDIA ERNGS FD9,359$423.7K<0.1%+318+3.5%Added–
MKCMcCormick & Co IncStock5,562$424.0K<0.1%+1,009+22.2%AddedHistory
TERTeradyne, IncStock3,379$425.5K<0.1%−140−4.0%ReducedHistory
T Rowe Price Exchange-Traded87283Q404PRICE DIV GRWT10,765$426.2K<0.1%−37,087−77.5%Reduced–
TMToyota Motor CorpADS2,204$428.9K<0.1%−8−0.4%ReducedHistory
WisdomTree Tr97717Y477US QUALITY GROW8,713$429.2K<0.1%+8,713New–
Capital Grp Fixed Incm ETF T14020Y300US MULTI-SECTOR15,736$429.3K<0.1%−1,605−9.3%Reduced–
Fidelity Covington Trust316092832DIVID ETF RISI8,373$430.2K<0.1%+1,607+23.8%Added–
ARK ETF Tr00214Q203AUTNMUS TECHNLGY5,571$430.4K<0.1%−51−0.9%Reduced–
Timothy Plan887432326HIG DV STK ETF11,848$430.8K<0.1%+30.0%Added–
CGTXCognition Therapeutics IncCOM614,490$430.9K<0.1%+417,300+211.6%AddedHistory
SPOTSpotify Technology S.A.Stock964$431.3K<0.1%−4,252−81.5%ReducedHistory
Vanguard Scottsdale FDS92206C664VNG RUS2000IDX4,869$434.9K<0.1%+830+20.5%Added–
PIMCO ETF Tr72201R866INTER MUN BD ACT8,435$436.3K<0.1%−245−2.8%Reduced–
SMCISuper Micro Computer, Inc.Stock14,341$437.1K<0.1%−25,159−63.7%ReducedConverted for a 10-for-1 splitHistory
ABNBAirbnb, Inc.Stock3,331$437.8K<0.1%−3,863−53.7%ReducedHistory
CORCencora, Inc.Stock1,949$437.8K<0.1%+28+1.5%AddedHistory
NNNNNN REIT, Inc.REIT10,725$438.1K<0.1%−1,175−9.9%ReducedHistory
Trust for Professional Manag89834G729ACTIVEPASSIVE US12,282$439.2K<0.1%+893+7.8%Added–
State Street SPDR Portfolio S&P 400 Mid Cap ETF78464A847ETF8,059$440.7K<0.1%−97−1.2%Reduced–
iShares Tr46435G425ESG AWR MSCI USA3,435$442.6K<0.1%+41+1.2%Added–
AIGAmerican International Group, Inc.Stock6,124$445.8K<0.1%00.0%UnchangedHistory
THCTenet Healthcare CorpCOM NEW3,551$448.2K<0.1%−89−2.4%ReducedHistory
Dimensional ETF Trust25434V104US CORE EQT MKT11,097$449.3K<0.1%+11,097New–
State Street SPDR S&P Biotech ETF78464A870ETF5,000$450.3K<0.1%−6,924−58.1%Reduced–
J P Morgan Exchange Traded F46641Q647MUNICIPAL ETF8,980$450.3K<0.1%+498+5.9%Added–
BNYBank of New York Mellon CorpStock5,862$450.3K<0.1%+392+7.2%AddedHistory
HUTHut 8 Corp.COM22,000$450.8K<0.1%+22,000NewHistory
NLYAnnaly Capital Management IncREIT24,654$451.2K<0.1%−2,470−9.1%ReducedHistory
First Tr Exchng Traded FD VI33740F342FT VEST U.S19,568$452.0K<0.1%+19,568New–
iShares U S ETF Tr46431W648U.S. TECH INDEPD5,300$452.2K<0.1%+530+11.1%Added–
iShares Flexible Income Active ETF092528603ETF8,774$456.4K<0.1%−185−2.1%Reduced–
Innovator ETFs Trust45782C664US EQTY BUF SEP10,703$459.2K<0.1%−155−1.4%Reduced–
ETREntergy CorpCOM6,096$462.2K<0.1%−268−4.2%ReducedConverted for a 2-for-1 splitHistory
AJGArthur J. Gallagher & Co.COM1,633$463.6K<0.1%−8,662−84.1%ReducedHistory
First Tr Exchange Traded FD33738R688S&P INTL DIVID28,973$471.7K<0.1%−325−1.1%Reduced–
SQMChemical & Mining Co of Chile IncSPON ADR SER B13,011$473.1K<0.1%+581+4.7%AddedHistory
GEHCGE HealthCare Technologies Inc.Stock6,052$473.1K<0.1%+102+1.7%AddedHistory
ATOAtmos Energy CorpCOM3,402$473.9K<0.1%−1,778−34.3%ReducedHistory
PBAPembina Pipeline CorpCOM12,946$478.4K<0.1%−3,850−22.9%ReducedHistory
Capitol Ser Tr14064D550FAIRLEAD TACTICA17,496$478.5K<0.1%+17,496New–
Innovator ETFs Trust45782C540US EQTY PWR BUF12,471$479.1K<0.1%−5,274−29.7%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%–