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
WisdomTree Tr97717Y683	ENHNCD CMMDTY ST	25,501	$480.1K	<0.1%	+3,762+17.3%	Added	–
First Tr Exchange-Traded FD33733E831	INDXX AEROSPACE	15,799	$480.8K	<0.1%	−241−1.5%	Reduced	–
Invesco Exch TRD SLF Idx FD46138J619	RUSL 1000 DYNM	8,874	$481.2K	<0.1%	−199−2.2%	Reduced	–
Global X FDS37954Y459	RUSSELL 2000	29,593	$483.5K	<0.1%	−4,655−13.6%	Reduced	–
LZBLa-Z-Boy Inc	COM	11,120	$484.5K	<0.1%	−647−5.5%	Reduced	History
KLACKLA Corp	COM NEW	772	$486.3K	<0.1%	+47+6.5%	Added	History
CUECue Biopharma, Inc.	COM	447,175	$487.4K	<0.1%	+45,850+11.4%	Added	History
Direxion Shares ETF Trust25459Y207	NASDAQ 100 EQ WT	5,447	$488.9K	<0.1%	−742−12.0%	Reduced	–
Innovator ETFs Trust45782C326	US EQTY BUFR MAY	12,178	$491.0K	<0.1%	−4,985−29.0%	Reduced	–
MRSHMarsh & McLennan Companies, Inc.	Stock	2,326	$494.0K	<0.1%	+66+2.9%	Added	History
iShares Tr46435G474	FALN ANGLS USD	18,499	$494.1K	<0.1%	−3,096−14.3%	Reduced	–
BENFranklin Templeton Inc	COM	24,383	$494.7K	<0.1%	+7,192+41.8%	Added	History
GDVGabelli Dividend & Income Trust	COM	20,556	$496.4K	<0.1%	+269+1.3%	Added	History
First Tr Exchange-Traded FD33734X119	CONSUMR STAPLE	7,788	$498.9K	<0.1%	+530+7.3%	Added	–
First Tr Exchange-Traded Alp33737M102	MID CP GR ALPH	6,236	$498.9K	<0.1%	−166−2.6%	Reduced	–
DNPDNP Select Income Fund Inc	COM	56,643	$499.6K	<0.1%	+3,758+7.1%	Added	History
Fidelity Covington Trust31609A305	ENHANCED LARGE	14,147	$500.3K	<0.1%	+181+1.3%	Added	–
RBB FD Inc74933W478	US TREASRY 12 MT	10,021	$501.6K	<0.1%	−135−1.3%	Reduced	–
GXOGXO Logistics, Inc.	Stock	11,546	$502.3K	<0.1%	−534−4.4%	Reduced	History
J P Morgan Exchange Traded F46641Q308	DIV RTN EM EQT	9,793	$508.1K	<0.1%	+2,891+41.9%	Added	–
iShares Core MSCI Total International Stock ETF46432F834	ETF	7,762	$513.3K	<0.1%	−168−2.1%	Reduced	–
ICEIntercontinental Exchange, Inc.	Stock	3,452	$514.4K	<0.1%	+142+4.3%	Added	History
Innovator ETFs Trust45782C813	US EQTY PWR BUF	12,495	$514.4K	<0.1%	−2,080−14.3%	Reduced	–
Pacer FDS Tr69374H709	GLOBL CASH ETF	15,315	$516.7K	<0.1%	−8,537−35.8%	Reduced	–
NICENICE Ltd.	SPONSORED ADR	3,045	$517.2K	<0.1%	−210−6.5%	Reduced	History
Pacer US Large Cap Cash Cows Growth Leaders ETF69374H360	ETF	16,158	$517.7K	<0.1%	+16,158	New	–
TCW ETF Trust29287L502	ARTIF INTEL ETF	17,690	$518.1K	<0.1%	−1,241−6.6%	Reduced	–
Innovator ETFs Trust45782C391	US EQTY BUFR MAR	11,247	$518.9K	<0.1%	−415−3.6%	Reduced	–
First Tr Exchange Traded FD33734X143	HLTH CARE ALPH	5,010	$521.6K	<0.1%	−459−8.4%	Reduced	–
Etfis Ser Tr I26923G798	VIRTUS PVT CR	24,061	$523.3K	<0.1%	−491−2.0%	Reduced	–
Innovator ETFs Trust45782C599	US SML CP PWR B	17,131	$523.7K	<0.1%	+17,131	New	–
MTBM&T Bank Corp	COM	2,798	$526.0K	<0.1%	−136−4.6%	Reduced	History
CROXCrocs, Inc.	COM	4,818	$527.7K	<0.1%	−2,281−32.1%	Reduced	History
Innovator ETFs Trust45782C557	US EQTY BUF DEC	12,242	$527.8K	<0.1%	−3,011−19.7%	Reduced	–
Vanguard Morningstar Small-Cap Growth ETF922908595	ETF	1,887	$528.6K	<0.1%	−193−9.3%	Reduced	–
VICIVici Properties Inc.	COM	18,126	$529.5K	<0.1%	−89−0.5%	Reduced	History
First Tr Exchange-Traded FD33733E849	VEST GOLD STRTGY	28,938	$531.1K	<0.1%	+8,491+41.5%	Added	–
RCLRoyal Caribbean Cruises Ltd	COM	2,308	$532.4K	<0.1%	−5−0.2%	Reduced	History
RSReliance, Inc.	COM	1,981	$533.4K	<0.1%	−408−17.1%	Reduced	History
INTUIntuit Inc.	Stock	850	$534.1K	<0.1%	−163−16.1%	Reduced	History
First Tr Exchng Traded FD VI33740U778	VEST BUFFERED	21,806	$534.3K	<0.1%	−1,324−5.7%	Reduced	–
First Tr Exchange-Traded FD337344105	NASDAQ-100 SEL	4,276	$534.4K	<0.1%	+1,893+79.4%	Added	–
HRLHormel Foods Corp	COM	17,173	$538.7K	<0.1%	+1,369+8.7%	Added	History
PDIPIMCO Dynamic Income Fund	SHS	29,381	$538.8K	<0.1%	−22,471−43.3%	Reduced	History
First Tr Exchng Traded FD VI33740F318	FT VEST US EQT E	16,031	$541.0K	<0.1%	00.0%	Unchanged	–
CLColgate Palmolive Co	Stock	5,956	$541.5K	<0.1%	−969−14.0%	Reduced	History
CHDChurch & Dwight Co Inc	COM	5,178	$542.2K	<0.1%	+137+2.7%	Added	History
RNTXRein Therapeutics, Inc.	COM NEW	236,210	$543.3K	<0.1%	+23,800+11.2%	Added	History
SOUNSoundhound AI, Inc.	CLASS A COM	27,398	$543.6K	<0.1%	+5,758+26.6%	Added	History
Simplify Exchange Traded Fun82889N863	VOLATILITY PREM	26,146	$543.6K	<0.1%	+10,802+70.4%	Added	–
iShares Ibonds 2026 Term High Yield and Income ETF46436E528	ETF	23,518	$544.4K	<0.1%	+4,704+25.0%	Added	–
CVSACovista Inc.	COM	6,000	$545.1K	<0.1%	+6,000	New	History
Innovator ETFs Trust45784N866	US SMALL CAP PWR	21,434	$545.3K	<0.1%	+21,434	New	–
Alps ETF Tr00162Q387	OSHARES US QUALT	10,304	$547.4K	<0.1%	+605+6.2%	Added	–
Capital Group Core Equity Et14020V108	SHS CREAT UNIT	15,660	$547.6K	<0.1%	+897+6.1%	Added	–
ZTSZoetis Inc.	Stock	3,367	$548.5K	<0.1%	+140+4.3%	Added	History
FNFabrinet	SHS	2,499	$549.5K	<0.1%	+91+3.8%	Added	History
CICigna Group	Stock	1,991	$549.7K	<0.1%	−1,098−35.5%	Reduced	History
BNSBank of Nova Scotia	COM	10,267	$551.6K	<0.1%	−822−7.4%	Reduced	History
Dimensional ETF Trust25434V872	CORE FIXE IN ETF	13,374	$552.0K	<0.1%	+669+5.3%	Added	–
SGOLabrdn Gold ETF Trust	ETF	22,125	$554.2K	<0.1%	+129+0.6%	Added	History
GLDMWorld Gold Trust	SPDR GLD MINIS	10,661	$554.3K	<0.1%	+1,793+20.2%	Added	History
MASIMasimo Corp	COM	3,365	$556.2K	<0.1%	+600+21.7%	Added	History
Invesco Exchange Traded FD T46137V811	DORSEY WRGT TECH	7,673	$556.8K	<0.1%	+7,673	New	–
REGNRegeneron Pharmaceuticals, Inc.	COM	782	$557.3K	<0.1%	+373+91.2%	Added	History
HUBBHubbell Inc	COM	1,338	$560.4K	<0.1%	−281−17.4%	Reduced	History
LHXL3HARRIS Technologies, Inc.	Stock	2,671	$561.8K	<0.1%	+58+2.2%	Added	History
SRESempra	Stock	6,423	$563.4K	<0.1%	+249+4.0%	Added	History
iShares Tr464288729	GLOB INDSTRL ETF	3,993	$564.0K	<0.1%	−775−16.3%	Reduced	–
WisdomTree Tr97717W604	US SMALLCAP DIVD	16,599	$570.2K	<0.1%	+277+1.7%	Added	–
iShares Tr46435G102	CONV BD ETF	6,741	$572.8K	<0.1%	−30−0.4%	Reduced	–
iShares Tr464287697	U.S. UTILITS ETF	5,955	$572.9K	<0.1%	−299−4.8%	Reduced	–
ATOMAtomera Inc	COM	49,810	$577.8K	<0.1%	+24,810+99.2%	Added	History
PKGPackaging Corp of America	Stock	2,568	$578.2K	<0.1%	+58+2.3%	Added	History
TRUPTrupanion, Inc.	COM	12,007	$578.7K	<0.1%	+4,000+50.0%	Added	History
Graniteshares ETF Tr38747R827	1.5X LNG NVDA DL	8,719	$578.9K	<0.1%	+1,369+18.6%	Added	–
VERXVertex, Inc.	Stock	10,908	$581.9K	<0.1%	+1,421+15.0%	Added	History
iShares Tr464287549	EXPND TEC SC ETF	5,713	$583.3K	<0.1%	+452+8.6%	Added	–
EXCExelon Corp	Stock	15,498	$583.3K	<0.1%	−1,537−9.0%	Reduced	History
Fidelity Covington Trust316092360	FUN LAR COR ETF	12,715	$583.5K	<0.1%	+897+7.6%	Added	–
iShares MSCI Eafe ETF464287465	ETF	7,718	$583.5K	<0.1%	−4,549−37.1%	Reduced	–
J P Morgan Exchange Traded F46641Q878	BET USD HIG ETF	12,689	$584.7K	<0.1%	+4,181+49.1%	Added	–
SYYSysco Corp	Stock	7,657	$585.4K	<0.1%	−19,436−71.7%	Reduced	History
First Tr Exchange-Traded Alp33735K108	COM SHS	4,244	$586.8K	<0.1%	−739−14.8%	Reduced	–
Dimensional U.S. Core Equity 2 ETF25434V708	ETF	16,982	$587.4K	<0.1%	+30+0.2%	Added	–
NSCNorfolk Southern Corp	Stock	2,506	$588.1K	<0.1%	−337−11.9%	Reduced	History
iShares Tr464288257	MSCI ACWI ETF	5,015	$589.2K	<0.1%	−58−1.1%	Reduced	–
GNWGenworth Financial Inc	COM SHS	84,362	$589.7K	<0.1%	−2,434−2.8%	Reduced	History
Fidelity Covington Trust316092329	FIDELITY MAGELAN	19,075	$590.2K	<0.1%	+3,474+22.3%	Added	–
First Tr Exch Traded FD III33739P301	MUNI HI INCM ETF	12,269	$592.5K	<0.1%	+28+0.2%	Added	–
State Street SPDR S&P 600 Small Cap Value ETF78464A300	ETF	6,806	$593.8K	<0.1%	−362−5.1%	Reduced	–
Schwab Intermediate-Term US Treasury ETF808524854	ETF	24,458	$594.1K	<0.1%	+410+1.7%	AddedConverted for a 2-for-1 split	–
IOTSamsara Inc.	Stock	13,618	$595.0K	<0.1%	−1,264−8.5%	Reduced	History
Innovator ETFs Trust45782C409	US EQTY BUFR JAN	12,412	$595.2K	<0.1%	−13,743−52.5%	Reduced	–
SKTTanger Inc.	COM	17,494	$597.1K	<0.1%	−181−1.0%	Reduced	History
GLWCorning Inc	COM	12,589	$598.2K	<0.1%	+2,037+19.3%	Added	History
Columbia ETF Tr II19762B202	EM CORE EX ETF	20,257	$599.6K	<0.1%	−1,819−8.2%	Reduced	–
Fidelity MSCI Energy Index ETF316092402	ETF	25,445	$606.6K	<0.1%	−3,887−13.3%	Reduced	–
iShares Russell 1000 Value ETF464287598	ETF	3,307	$612.3K	<0.1%	+6+0.2%	Added	–
Innovator ETFs Trust45782C508	US EQTY PWR BUF	14,503	$612.8K	<0.1%	−14,336−49.7%	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
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%	–