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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q1 2025

Holdings as of Mar 31, 2025, filed May 2, 2025. Long positions only; changes compare share counts with Q4 2024.

Institution overview
Positions
1,190
+32 vs. Q4 2024
Portfolio value
$3.13B
−$49.8M (−1.6%) vs. Q4 2024
Filed
May 2, 2025
SEC
Holdings of Sigma Planning Corp in Q1 2025
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20210,218$350<0.1%00.0%UnchangedHistory
CMLSQCumulus Media IncCOM CL A14,119$6.24K<0.1%−7,581−34.9%ReducedHistory
TLRYTilray Brands, Inc.COM CL 213,584$8.93K<0.1%+378+2.9%AddedHistory
DNNDenison Mines Corp.COM12,000$15.6K<0.1%00.0%UnchangedHistory
ESPREsperion Therapeutics, Inc.COM12,250$17.6K<0.1%−178,191−93.6%ReducedHistory
OPKOpko Health, Inc.COM17,972$29.8K<0.1%00.0%UnchangedHistory
PLUGPlug Power IncStock23,257$31.4K<0.1%−1,431−5.8%ReducedHistory
PLGPlatinum Group Metals LtdCOM25,500$31.6K<0.1%+2,000+8.5%AddedHistory
ACHVAchieve Life Sciences, Inc.COM12,950$34.6K<0.1%+2,350+22.2%AddedHistory
BBDBank BradescoSP ADR PFD NEW19,463$43.4K<0.1%+19,463NewHistory
SBSafe Bulkers, Inc.COM11,799$43.5K<0.1%+14+0.1%AddedHistory
GGBGerdau S.A.SPON ADR REP PFD16,311$46.3K<0.1%+16,311NewHistory
IAFAbrdn Australia Equity Fund, Inc.COM12,100$48.8K<0.1%00.0%UnchangedHistory
IBRXImmunityBio, Inc.COM17,000$51.2K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM20,472$53.4K<0.1%+265+1.3%AddedHistory
APTOAptose Biosciences Inc.COM NEW17,389$54.8K<0.1%+17,389NewHistory
XRXXerox Holdings CorpCOM NEW11,450$55.3K<0.1%+11,450NewHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,477$63.9K<0.1%−251−1.5%ReducedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM17,226$68.6K<0.1%+17,226NewHistory
BGSB&G Foods, Inc.COM10,050$69.0K<0.1%+10,050NewHistory
GABGabelli Equity Trust IncCOM12,887$71.0K<0.1%+1,055+8.9%AddedHistory
LUNRIntuitive Machines, Inc.CLASS A COM10,415$77.6K<0.1%+10,415NewHistory
RCATRed Cat Holdings, Inc.Stock13,684$80.5K<0.1%00.0%UnchangedHistory
NATNordic American Tankers LtdCOM32,711$80.5K<0.1%−198−0.6%ReducedHistory
CIKUBS Asset Management Income Fund, Inc.COM31,435$91.2K<0.1%00.0%UnchangedHistory
BBBLACKBERRY LtdCOM24,326$91.7K<0.1%+8,000+49.0%AddedHistory
SCWO374Water Inc.Common Stock270,693$92.0K<0.1%+86,733+47.1%AddedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,474$97.6K<0.1%00.0%UnchangedHistory
JPCNuveen Preferred & Income Opportunities FundCOM12,541$99.8K<0.1%+40.0%AddedHistory
CLSKCleanspark, Inc.COM NEW14,923$100.3K<0.1%−2,595−14.8%ReducedHistory
AGFirst Majestic Silver CorpCOM15,030$100.5K<0.1%+3,380+29.0%AddedHistory
IGRCbre Global Real Estate Income FundCOM19,603$101.2K<0.1%+805+4.3%AddedHistory
TWITitan International IncCOM12,069$101.3K<0.1%+12,069NewHistory
LTRNLantern Pharma Inc.COM28,650$101.4K<0.1%+200+0.7%AddedHistory
RGTIRigetti Computing, Inc.COMMON STOCK12,893$102.1K<0.1%−5,361−29.4%ReducedHistory
INTSIntensity Therapeutics, Inc.COM54,837$108.0K<0.1%00.0%UnchangedHistory
LANDGladstone Land CorpCOM10,491$110.4K<0.1%+10,491NewHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT13,629$114.3K<0.1%−5,514−28.8%ReducedHistory
CLFCleveland-Cliffs Inc.COM14,026$115.3K<0.1%+3,441+32.5%AddedHistory
PFLTPennantPark Floating Rate Capital Ltd.COM10,384$116.2K<0.1%−507−4.7%ReducedHistory
INABIN8BIO, Inc.COM700,680$116.3K<0.1%−340,700−32.7%ReducedHistory
EVVEaton Vance Ltd Duration Income FundCOM12,211$121.9K<0.1%−78−0.6%ReducedHistory
MARAMARA Holdings, Inc.COM10,629$122.2K<0.1%+10,629NewHistory
CIMChimera Investment CorpCOM SHS10,229$131.2K<0.1%+10,229NewHistory
UWMCUWM Holdings CorpCOM CL A24,554$134.1K<0.1%+33+0.1%AddedHistory
SPPPSprott Physical Platinum & Palladium TrustPHYSICAL PLATINU13,770$136.9K<0.1%+13,770NewHistory
Golden Ocean Group LtdG39637205SHS NEW17,755$141.7K<0.1%+371+2.1%Added–
PDMPiedmont Realty Trust, Inc.COM CL A19,322$142.4K<0.1%−4,200−17.9%ReducedHistory
VanEck ETF Trust92189F452MORTGAGE REIT12,950$144.7K<0.1%+500+4.0%Added–
RIOTRiot Platforms, Inc.COM20,343$144.8K<0.1%+1,804+9.7%AddedHistory
RCReady Capital CorpCOM28,511$145.1K<0.1%+28,511NewHistory
BEATHeartBeam, Inc.COM73,450$147.6K<0.1%+73,450NewHistory
MPTMedical Properties Trust IncCOM24,466$147.6K<0.1%+1,635+7.2%AddedHistory
HLHecla Mining CoCOM27,493$152.9K<0.1%+1,104+4.2%AddedHistory
LIVELive Ventures IncCOM NEW20,096$153.3K<0.1%+357+1.8%AddedHistory
RCKTRocket Pharmaceuticals, Inc.COM23,575$157.2K<0.1%+200+0.9%AddedHistory
RUMRUM Group Inc.Stock22,255$157.3K<0.1%−4,077−15.5%ReducedHistory
XFLTXAI Floating Rate & Alternative Income TrustCOM27,018$159.7K<0.1%+27,018NewHistory
ACTUActuate Therapeutics, Inc.COM23,675$160.3K<0.1%+7,600+47.3%AddedHistory
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM12,153$160.5K<0.1%−4,534−27.2%ReducedHistory
QXOQXO, Inc.COM NEW12,189$165.0K<0.1%+12,189NewHistory
EFREaton Vance Senior Floating-Rate TrustCOM14,198$173.9K<0.1%+783+5.8%AddedHistory
PSECProspect Capital CorpCOM43,745$179.4K<0.1%−25,443−36.8%ReducedHistory
HAFNHafnia LtdCOMMON STOCK44,450$184.9K<0.1%+7,500+20.3%AddedHistory
GNLGlobal Net Lease, Inc.COM NEW23,587$189.6K<0.1%−3,381−12.5%ReducedHistory
NWLNewell Brands Inc.Stock31,428$194.9K<0.1%+11,152+55.0%AddedHistory
ATOMAtomera IncCOM49,010$196.0K<0.1%−800−1.6%ReducedHistory
Innovator ETFs Trust45782C342US SML CP PWR ET6,542$201.8K<0.1%+200+3.2%Added–
LTCLTC Properties IncREIT5,697$202.0K<0.1%+5,697NewHistory
Fidelity Merrimack STR Tr316188101CORP BOND ETF4,306$202.2K<0.1%−1,023−19.2%Reduced–
iShares Tr464287374NORTH AMERN NAT4,470$203.2K<0.1%+4,470New–
Amplify ETF Tr032108664AMPLIFY CYBERSEC2,839$203.8K<0.1%+10.0%Added–
TSITCW Strategic Income Fund IncCOM41,952$203.9K<0.1%00.0%UnchangedHistory
SCCOSouthern Copper CorpStock2,191$204.8K<0.1%+2,191NewHistory
LKQLKQ CorpCOM4,824$205.2K<0.1%+4,824NewHistory
Schwab U.S. Small-Cap ETF808524607ETF8,763$205.3K<0.1%+8,763New–
PCARPaccar IncCOM2,133$207.7K<0.1%+37+1.8%AddedHistory
SIVRabrdn Silver ETF TrustPHYSCL SILVR SHS6,406$208.3K<0.1%+6,406NewHistory
SNDXSyndax Pharmaceuticals IncCOM16,985$208.7K<0.1%−800−4.5%ReducedHistory
iShares Esg Aware US Aggregate Bond ETF46435U549ETF4,397$208.8K<0.1%+4,397New–
NEANuveen AMT-Free Quality Municipal Income FundCOM18,645$208.8K<0.1%−2,796−13.0%ReducedHistory
iShares Tr46438G406IBONDS OCT 20258,160$209.5K<0.1%+8,160New–
MSIMotorola Solutions, Inc.Stock479$209.8K<0.1%+479NewHistory
iShares Tr46435G250HIGH YLD SYSTM B4,457$209.9K<0.1%+4,457New–
EZPWEzcorp IncCL A NON VTG14,279$210.2K<0.1%−77−0.5%ReducedHistory
Innovator ETFs Trust45783Y681NASDAQ 100 MANA7,815$211.1K<0.1%+965+14.1%Added–
NEMNEWMONT CorpStock4,380$211.5K<0.1%+4,380NewHistory
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,350$211.6K<0.1%00.0%UnchangedHistory
Abrdn ETFs003261104BBRG ALL COMD K19,866$211.7K<0.1%+9,866New–
IFNAberdeen India Fund, Inc.COM13,431$211.8K<0.1%+13,431NewHistory
IDXXIDEXX Laboratories IncCOM505$212.1K<0.1%−210−29.4%ReducedHistory
Innovator ETFs Trust45782C334GRWT100 PWR BF4,455$212.5K<0.1%−1,452−24.6%Reduced–
First Tr Exchange Traded FD33738R860NASDAQ BK ETF6,993$212.6K<0.1%+6,993New–
AAAUGoldman Sachs Physical Gold ETFUNIT6,890$212.8K<0.1%+6,890NewHistory
Fidelity Covington Trust31609A503ENH MID COR ETF6,808$213.4K<0.1%−1,763−20.6%Reduced–
WHRWhirlpool CorpStock2,368$213.4K<0.1%+201+9.3%AddedHistory
Vanguard Wellington FD921935508US MOMENTUM1,418$215.1K<0.1%−442−23.8%Reduced–
Goldman Sachs ETF Tr381430503ACTIVEBETA US LG1,958$215.6K<0.1%−25−1.3%Reduced–
SPDR Series Trust78468R531SPDR S&P 500 ESG4,032$215.7K<0.1%+22+0.5%Added–
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG10,750$216.8K<0.1%+10,750New–

Options (13)

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 Q1 2025
SecurityClassPutsCalls
TSLATesla, Inc.Stock$325.0K–
NVDANVIDIA CorpStock$287.3K–
AMDAdvanced Micro Devices IncStock–$124.0K
SMCISuper Micro Computer, Inc.Stock–$112.0K
XRXXerox Holdings CorpCOM NEW$105.3K–
FFord Motor CoStock–$75.3K
OLEDUniversal Display CorpCOM$46.3K–
LULUlululemon athletica inc.Stock–$42.0K
AIC3.ai, Inc.Stock–$35.4K
BFHBread Financial Holdings, Inc.COM$5.41K–
ECPGEncore Capital Group IncCOM$2.28K–
NWLNewell Brands Inc.Stock$1.92K–
QCOMQualcomm IncStock–$600

Sold out since Q4 2024 (99)

Positions held at the end of Q4 2024 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q4 2024
SecurityClassShares in Q4 2024Value in Q4 2024% of portfolio in Q4 2024History
ALABAstera Labs, Inc.Stock20,520$2.72M0.1%History
T Rowe Price Exchange-Traded87283Q826SMALL MID CAP56,868$1.83M0.1%–
Innovator U.S. Equity Ultra Buffer ETF - October45782C821ETF45,545$1.61M0.1%–
Invesco Exchange Traded FD T46137V605DJ INDL AVG DV29,771$1.51M<0.1%–
CLHClean Harbors IncCOM6,446$1.48M<0.1%History
iShares U S ETF Tr46431W606IT RT HDG HGYL17,018$1.47M<0.1%–
Invesco Exchange Traded FD T46137V290S&P500 EQL REL40,618$1.43M<0.1%–
Etfis Ser Tr I26923G806VIRTUS REAVES UT21,463$1.37M<0.1%–
J P Morgan Exchange Traded F46654Q781EQUITY FOCUS ETF17,615$1.18M<0.1%–
First Tr Exchange Traded FD33738R845NASDQ OIL GAS40,084$1.15M<0.1%–
ARMKAramarkCOM23,028$859.2K<0.1%History
SLVMSylvamo CorpCOMMON STOCK9,375$740.8K<0.1%History
VMCVulcan Materials COCOM2,642$679.6K<0.1%History
RBLXRoblox CorpStock11,165$646.0K<0.1%History
TRUPTrupanion, Inc.COM12,007$578.7K<0.1%History
PKGPackaging Corp of AmericaStock2,568$578.2K<0.1%History
BNSBank of Nova ScotiaCOM10,267$551.6K<0.1%History
FNFabrinetSHS2,499$549.5K<0.1%History
Innovator ETFs Trust45784N866US SMALL CAP PWR21,434$545.3K<0.1%–
iShares Ibonds 2026 Term High Yield and Income ETF46436E528ETF23,518$544.4K<0.1%–
Etfis Ser Tr I26923G798VIRTUS PVT CR24,061$523.3K<0.1%–
NICENICE Ltd.SPONSORED ADR3,045$517.2K<0.1%History
HUTHut 8 Corp.COM22,000$450.8K<0.1%History
State Street SPDR S&P Biotech ETF78464A870ETF5,000$450.3K<0.1%–
AIGAmerican International Group, Inc.Stock6,124$445.8K<0.1%History
iShares Tr46435G425ESG AWR MSCI USA3,435$442.6K<0.1%–
PRPermian Resources CorpCLASS A COM27,241$391.7K<0.1%History
iShares Tr464288851US OIL GS EX ETF4,273$383.0K<0.1%–
IONQIonQ, Inc.COM8,837$369.1K<0.1%History
Invesco Exchange Traded FD T46137V639AI AND NEXT GEN7,707$348.6K<0.1%–
First Tr Exchange-Traded Alp33734K109COM SHS3,152$328.7K<0.1%–
STLDSteel Dynamics IncCOM2,822$322.0K<0.1%History
iShares Tr46435G672CORE INTL AGGR6,392$319.1K<0.1%–
ONBOld National BancorpStock14,522$315.2K<0.1%History
Invesco Exchange Traded FD T46137V746LARG CAP GRO ETF3,004$305.6K<0.1%–
ALBAlbemarle CorpStock3,536$304.4K<0.1%History
SNPSSynopsys IncCOM617$299.5K<0.1%History
DDOGDatadog, Inc.CL A COM2,092$298.9K<0.1%History
DECKDeckers Outdoor CorpCOM1,447$293.9K<0.1%History
WLKWestlake CorpCOM2,531$290.2K<0.1%History
Global X Lithium & Battery Tech ETF37954Y855ETF7,081$288.7K<0.1%–
Neos ETF Trust Nasdaq 100 HDGD78433H667ETF10,927$284.8K<0.1%–
JBHTHunt J B Transport Services IncCOM1,634$278.9K<0.1%History
GNTXGentex CorpCOM9,462$271.9K<0.1%History
JCIJohnson Controls International plcStock3,439$271.5K<0.1%History
Innovator ETFs Trust45782C870US EQT PWR BUF7,354$269.9K<0.1%–
Innovator ETFs Trust45782C284US SML CP PWR B9,081$267.3K<0.1%–
iShares Inc464286525MSCI GBL MIN VOL2,339$255.4K<0.1%–
First Tr Exchng Traded FD VI33740F771FT VEST US5,849$249.7K<0.1%–
Schwab U.S. Large-Cap Value ETF808524409ETF9,311$242.7K<0.1%–
ONONOn Holding AGStock4,407$241.4K<0.1%History
ASIXAdvanSix Inc.COM8,460$241.0K<0.1%History
ARK Next Generation Technology ETF00214Q401ETF2,231$240.9K<0.1%–
CHTRCharter Communications, Inc.CL A701$240.3K<0.1%History
PEGPublic Service Enterprise Group IncCOM2,835$239.5K<0.1%History
SWKSSkyworks Solutions, Inc.Stock2,698$239.3K<0.1%History
iShares Inc464286475EM MKT SM-CP ETF4,105$238.6K<0.1%–
UNGUnited States Natural Gas Fund, LPETF14,049$236.2K<0.1%History
WBAWalgreens Boots Alliance, Inc.COM24,763$231.0K<0.1%History
FSLRFirst Solar, Inc.Stock1,295$228.3K<0.1%History
HALHalliburton CoStock8,383$227.9K<0.1%History
ProShares Tr74347R842PSHS ULTRUSS20005,384$225.3K<0.1%–
Pacer Trendpilot US Mid Cap ETF69374H204ETF6,093$224.8K<0.1%–
First Tr Exchange Traded FD33738R696DORSEYWRIGHT MOM5,929$224.0K<0.1%–
iShares U.S. Healthcare Providers ETF464288828ETF4,646$223.0K<0.1%–
Dimensional World Ex U.S. Core Equity 2 ETF25434V880ETF8,950$222.5K<0.1%–
Cyberark Software LtdM2682V108SHS665$221.7K<0.1%–
VanEck ETF Trust92189H607OIL SERVICES ETF817$221.5K<0.1%–
OCOwens CorningStock1,271$216.5K<0.1%History
ALLYAlly Financial Inc.Stock6,010$216.4K<0.1%History
SRTSSensus Healthcare, Inc.COM31,000$214.5K<0.1%History
HCAHCA Healthcare, Inc.COM714$214.2K<0.1%History
Invesco S&P 500 Equal Weight Technology ETF46137V282ETF5,700$213.3K<0.1%–
Vanguard Scottsdale FDS92206C623VNG RUS2000GRW1,013$212.8K<0.1%–
Sprott FDS Tr85208P303URANIUM MINERS E5,250$211.6K<0.1%–
ODFLOld Dominion Freight Line, Inc.COM1,198$211.3K<0.1%History
DHIHorton D R IncCOM1,493$208.8K<0.1%History
Invesco Exch Traded FD Tr II46138G615INVESCO PHLX SM5,311$208.3K<0.1%–
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX1,964$208.3K<0.1%–
Innovator ETFs Trust45782C649US EQTY ULTRA B5,897$207.6K<0.1%–
PSNParsons CorpCOM2,236$206.3K<0.1%History
VALValaris LtdCL A4,623$204.5K<0.1%History
APAMArtisan Partners Asset Management Inc.CL A4,694$202.1K<0.1%History
First Tr Exchange-Traded FD33734X838INDXX NAT RE ETF16,128$194.0K<0.1%–
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM12,033$182.9K<0.1%History
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$173.3K<0.1%–
VSTSVestis CorpCOM SHS10,674$162.7K<0.1%History
APTOAptose Biosciences Inc.COM703,384$158.5K<0.1%History
iShares Global Clean Energy ETF464288224ETF10,186$115.9K<0.1%–
FSCOFS Credit Opportunities Corp.COMMON STOCK15,732$107.3K<0.1%History
VMOInvesco Municipal Opportunity TrustCOM10,853$105.5K<0.1%History
BCXBlackRock Resources & Commodities Strategy TrustSHS10,976$93.7K<0.1%History
UAUnder Armour, Inc.CL C10,933$81.6K<0.1%History
NXHNeighborhood Intelligence, Inc.COM15,250$75.2K<0.1%History
PHKPIMCO High Income FundCOM SHS15,070$73.2K<0.1%History
JMIAJumia Technologies AGSPONSORED ADS13,048$49.8K<0.1%History
Amplify ETF Tr032108631AMPLIFY ALTERNAT14,757$33.1K<0.1%–
ZOMDFZomedica Corp.COM180,400$21.6K<0.1%History
WKSPWorksport LtdCOM NEW11,304$10.4K<0.1%History