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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q2 2025

Holdings as of Jun 30, 2025, filed Aug 5, 2025. Long positions only; changes compare share counts with Q1 2025.

Institution overview
Positions
1,238
+48 vs. Q1 2025
Portfolio value
$3.33B
+$190.5M (+6.1%) vs. Q1 2025
Filed
Aug 5, 2025
SEC
Holdings of Sigma Planning Corp in Q2 2025
SecurityClassSharesValue% of portfolioShare changeActionHistory
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20210,218$344<0.1%00.0%UnchangedHistory
TLRYTilray Brands, Inc.COM CL 216,137$6.69K<0.1%+2,553+18.8%AddedHistory
INTSIntensity Therapeutics, Inc.COM69,167$21.2K<0.1%+14,330+26.1%AddedHistory
OPKOpko Health, Inc.COM17,972$23.7K<0.1%00.0%UnchangedHistory
LCIDLucid Group, Inc.COM15,280$32.2K<0.1%+15,280NewHistory
UAMYUnited States Antimony CorpCOM15,000$32.7K<0.1%+15,000NewHistory
PLUGPlug Power IncStock24,281$36.2K<0.1%+1,024+4.4%AddedHistory
CUECue Biopharma, Inc.COM55,500$37.9K<0.1%−270,760−83.0%ReducedHistory
SBSafe Bulkers, Inc.COM11,703$42.2K<0.1%−96−0.8%ReducedHistory
IBRXImmunityBio, Inc.COM17,000$44.9K<0.1%00.0%UnchangedHistory
CGTXCognition Therapeutics IncCOM147,990$45.8K<0.1%−460,400−75.7%ReducedHistory
OXSQOxford Square Capital Corp.COM20,784$46.3K<0.1%+312+1.5%AddedHistory
XERSXeris Biopharma Holdings, Inc.COM10,050$46.9K<0.1%−63,900−86.4%ReducedHistory
PLGPlatinum Group Metals LtdCOM32,500$49.7K<0.1%+7,000+27.5%AddedHistory
GGBGerdau S.A.SPON ADR REP PFD17,160$50.1K<0.1%+849+5.2%AddedHistory
CLOVClover Health Investments, Corp.COM CL A18,224$50.8K<0.1%+18,224NewHistory
ASMAvino Silver & Gold Mines LtdCOM14,617$52.6K<0.1%+14,617NewHistory
BTMBitcoin Depot Inc.COM10,500$53.2K<0.1%+10,500NewHistory
IAFAbrdn Australia Equity Fund, Inc.COM12,100$54.1K<0.1%00.0%UnchangedHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,480$65.3K<0.1%+30.0%AddedHistory
STGWStagwell IncCOM CL A14,771$66.5K<0.1%+14,771NewHistory
UECUranium Energy CorpCOM10,100$68.7K<0.1%+10,100NewHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM17,428$69.4K<0.1%+202+1.2%AddedHistory
GABGabelli Equity Trust IncCOM12,942$75.3K<0.1%+55+0.4%AddedHistory
XRXXerox Holdings CorpCOM NEW15,372$81.0K<0.1%+3,922+34.3%AddedHistory
RCReady Capital CorpCOM19,348$84.5K<0.1%−9,163−32.1%ReducedHistory
WUWestern Union COStock10,321$86.9K<0.1%+10,321NewHistory
CLFCleveland-Cliffs Inc.COM11,630$88.4K<0.1%−2,396−17.1%ReducedHistory
SWBISmith & Wesson Brands, Inc.COM10,211$88.6K<0.1%+10,211NewHistory
NATNordic American Tankers LtdCOM34,023$89.5K<0.1%+1,312+4.0%AddedHistory
BEATHeartBeam, Inc.COM73,850$92.3K<0.1%+400+0.5%AddedHistory
CIKCredit Suisse Asset Management Income Fund, Inc.COM31,435$93.0K<0.1%00.0%UnchangedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,474$94.9K<0.1%00.0%UnchangedHistory
SCWO374Water Inc.Common Stock303,893$98.6K<0.1%+33,200+12.3%AddedHistory
NTLAIntellia Therapeutics, Inc.COM10,616$99.6K<0.1%+10,616NewHistory
RCATRed Cat Holdings, Inc.Stock13,684$99.6K<0.1%00.0%UnchangedHistory
UWMCUWM Holdings CorpCOM CL A24,198$100.2K<0.1%−356−1.4%ReducedHistory
MPTMedical Properties Trust IncCOM23,562$101.7K<0.1%−904−3.7%ReducedHistory
IGRCbre Global Real Estate Income FundCOM19,820$104.8K<0.1%+217+1.1%AddedHistory
PFLTPennantPark Floating Rate Capital Ltd.COM10,439$107.8K<0.1%+55+0.5%AddedHistory
BBBLACKBERRY LtdCOM24,327$111.4K<0.1%+10.0%AddedHistory
BBAIBigBear.ai Holdings, Inc.COM16,900$114.8K<0.1%+16,900NewHistory
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT13,715$121.5K<0.1%+86+0.6%AddedHistory
TWITitan International IncCOM12,069$123.9K<0.1%00.0%UnchangedHistory
ATOMAtomera IncCOM24,800$125.0K<0.1%−24,210−49.4%ReducedHistory
New Gold Inc Cda644535106COM26,590$131.6K<0.1%+26,590New–
PSECProspect Capital CorpCOM41,478$131.9K<0.1%−2,267−5.2%ReducedHistory
LANDGladstone Land CorpCOM13,046$132.7K<0.1%+2,555+24.4%AddedHistory
AGFirst Majestic Silver CorpCOM16,882$139.6K<0.1%+1,852+12.3%AddedHistory
HAFNHafnia LtdCOMMON STOCK28,000$139.7K<0.1%−16,450−37.0%ReducedHistory
VanEck ETF Trust92189F452MORTGAGE REIT14,200$150.0K<0.1%+1,250+9.7%Added–
Northern LTS FD Tr IV66538H179MAIN BUYWRITE11,360$159.5K<0.1%−134,012−92.2%Reduced–
BHVNBiohaven Ltd.COM11,321$159.7K<0.1%+459+4.2%AddedHistory
RGTIRigetti Computing, Inc.COMMON STOCK13,843$164.2K<0.1%+950+7.4%AddedHistory
MARAMARA Holdings, Inc.COM10,724$168.1K<0.1%+95+0.9%AddedHistory
CLSKCleanspark, Inc.COM NEW15,258$168.3K<0.1%+335+2.2%AddedHistory
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG14,700$169.6K<0.1%+14,700NewHistory
AURAurora Innovation, Inc.CLASS A COM32,864$172.2K<0.1%−8,773−21.1%ReducedHistory
EFREaton Vance Senior Floating-Rate TrustCOM14,295$173.3K<0.1%+97+0.7%AddedHistory
GNLGlobal Net Lease, Inc.COM NEW23,634$178.4K<0.1%+47+0.2%AddedHistory
EZPWEzcorp IncCL A NON VTG12,937$179.6K<0.1%−1,342−9.4%ReducedHistory
HLHecla Mining CoCOM31,598$189.3K<0.1%+4,105+14.9%AddedHistory
ONBOld National BancorpStock9,392$200.4K<0.1%+9,392NewHistory
CIMChimera Investment CorpCOM SHS14,642$203.1K<0.1%+4,413+43.1%AddedHistory
SIVRabrdn Silver ETF TrustPHYSCL SILVR SHS5,920$203.7K<0.1%−486−7.6%ReducedHistory
OGEOGE Energy Corp.COM4,591$203.7K<0.1%−339−6.9%ReducedHistory
FLGFlagstar Bank, National AssociationStock19,238$203.9K<0.1%+29+0.2%AddedHistory
HPQHP IncStock8,338$203.9K<0.1%−953−10.3%ReducedHistory
NXHNeighborhood Intelligence, Inc.COM29,663$204.1K<0.1%+29,663NewHistory
iShares Esg Aware US Aggregate Bond ETF46435U549ETF4,300$204.4K<0.1%−97−2.2%Reduced–
EXRExtra Space Storage Inc.COM1,387$204.5K<0.1%−122−8.1%ReducedHistory
TSITCW Strategic Income Fund IncCOM41,952$204.7K<0.1%00.0%UnchangedHistory
Abrdn ETFs003261104BBRG ALL COMD K19,866$204.9K<0.1%00.0%Unchanged–
Innovator ETFs Trust45782C284US SML CP PWR B7,023$205.0K<0.1%+7,023New–
NEANuveen AMT-Free Quality Municipal Income FundCOM18,794$205.2K<0.1%+149+0.8%AddedHistory
WENWendy's CoStock18,004$205.6K<0.1%+18,004NewHistory
Pacer Trendpilot US Mid Cap ETF69374H204ETF5,897$205.7K<0.1%+5,897New–
CIENCiena CorpCOM NEW2,539$206.5K<0.1%+2,539NewHistory
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH1,282$206.9K<0.1%−144−10.1%Reduced–
CAGConagra Brands Inc.Stock10,124$207.2K<0.1%−430−4.1%ReducedHistory
First Tr Exchng Traded FD VI33740F797ACTV FCTR SMCP6,947$207.6K<0.1%−1,599−18.7%Reduced–
LTCLTC Properties IncREIT5,998$207.6K<0.1%+301+5.3%AddedHistory
Capital Group International14021T102SHS7,139$208.1K<0.1%+7,139New–
Innovator ETFs Trust45782C417US EQTY PWR BUF5,477$208.2K<0.1%−97,652−94.7%Reduced–
Global X Uranium ETF37954Y871ETF5,403$209.7K<0.1%+5,403New–
GNRCGenerac Holdings Inc.Stock1,474$211.1K<0.1%+1,474NewHistory
iShares Tr46434V381FUTU EXPO TE ETF3,236$211.2K<0.1%−908−21.9%Reduced–
Vanguard Scottsdale FDS92206C623VNG RUS2000GRW1,015$211.5K<0.1%+1,015New–
Franklin Templeton ETF Tr35473P108INTL COR DIV TIL5,943$211.8K<0.1%+5,943New–
NWLNewell Brands Inc.Stock39,285$212.1K<0.1%+7,857+25.0%AddedHistory
Invesco Exchange Traded FD T46137V779BLDG CONSTR ETF2,646$212.6K<0.1%+2,646New–
First Tr Exchange-Traded Alp33735B108COM SHS1,857$213.3K<0.1%−717−27.9%Reduced–
Innovator ETFs Trust45782C342US SML CP PWR ET6,593$213.5K<0.1%+51+0.8%Added–
ARK Next Generation Technology ETF00214Q401ETF1,450$214.0K<0.1%+1,450New–
ODFLOld Dominion Freight Line, Inc.COM1,321$214.4K<0.1%+1,321NewHistory
iShares Tr46428951110+ YR INVST GRD4,311$216.5K<0.1%−1,311−23.3%Reduced–
CAVACava Group, Inc.COM2,589$218.0K<0.1%+2,589NewHistory
First Tr Exchange-Traded FD33738D838INTER GOVT ETF10,840$218.4K<0.1%−1,759−14.0%Reduced–
Calamos ETF Tr12811T803S&P 500 STRUCTUR8,391$218.8K<0.1%+8,391New–
Calamos ETF Tr12811T837RUSSELL 2000 STR8,503$219.1K<0.1%+8,503New–

Options (6)

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 Q2 2025
SecurityClassPutsCalls
UBERUber Technologies, IncStock–$269.1K
AAPLApple Inc.Stock–$265.1K
NVDANVIDIA CorpStock–$250.6K
SPYSPDR S&P 500 ETF TrustETF$101.4K–
XRXXerox Holdings CorpCOM NEW$9.94K–
NWLNewell Brands Inc.Stock$4.30K–

Sold out since Q1 2025 (94)

Positions held at the end of Q1 2025 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q1 2025
SecurityClassShares in Q1 2025Value in Q1 2025% of portfolio in Q1 2025History
iShares Tr46434V787YLD OPTIM BD219,152$4.91M0.2%–
Simplify Exchange Traded Fun82889N723AGGREGATE BD ETF106,495$2.25M0.1%–
Tidal Tr II88636J105RTN STACKED BD122,720$2.08M0.1%–
T Rowe Price Exchange-Traded87283Q503US EQUI RESH ETF46,947$1.65M0.1%–
Invesco Exchange Traded FD T46137V449S&P 100 EQL WIGH13,762$1.42M<0.1%–
ROKURoku, IncCOM CL A18,001$1.27M<0.1%History
Innovator ETFs Trust45782C425US EQT ULTRA BFR38,325$1.24M<0.1%–
VISTVista Energy, S.A.B. de C.V.SPONSORED ADS25,254$1.18M<0.1%History
SNSharkNinja, Inc.COM SHS13,500$1.13M<0.1%History
MASIMasimo CorpCOM6,365$1.06M<0.1%History
Innovator ETFs Trust45783Y350INTL DEVELOPED P39,270$1.05M<0.1%–
XUnited States Steel CorpCOM24,732$1.05M<0.1%History
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF11,332$795.6K<0.1%–
Goldman Sachs ETF Tr381430438EQUAL WEIGHT US10,211$776.4K<0.1%–
FRPTFreshpet, Inc.Stock8,299$690.2K<0.1%History
First Tr Exchange-Traded FD33734X127ENERGY ALPHADX34,433$568.8K<0.1%–
BIRKBirkenstock Holding plcCOM SHS12,015$550.9K<0.1%History
First Tr Exchange-Traded FD33734X309S NETWRK FUT VEH9,343$499.4K<0.1%–
QUREuniQure N.V.SHS46,150$489.2K<0.1%History
Innovator ETFs Trust45784N767GROWTH 100 PWR B18,669$472.5K<0.1%–
Janus Detroit STR Tr47103U100HENDERSN CAP ETF7,000$426.0K<0.1%–
WisdomTree Tr97717Y477US QUALITY GROW9,579$420.5K<0.1%–
Innovator ETFs Trust45782C599US SML CP PWR B13,687$400.6K<0.1%–
DFSDiscover Financial ServicesCOM2,261$385.9K<0.1%History
iShares Tr46429B671MSCI CHINA ETF7,001$380.9K<0.1%–
VERXVertex, Inc.Stock10,845$379.7K<0.1%History
PCNPIMCO Corporate & Income Strategy FundCOM27,494$375.3K<0.1%History
Invesco Exch Traded FD Tr II46138G805TAXABLE MUN BD13,866$369.9K<0.1%–
DOCUDocuSign, Inc.Stock4,390$357.3K<0.1%History
First Tr Exchange Traded FD33738R308BUYWRIT INCM ETF15,984$349.4K<0.1%–
BECNQxo Building Products, Inc.COM2,500$309.3K<0.1%History
LWLamb Weston Holdings, Inc.Stock5,605$298.7K<0.1%History
LENLennar CorpCL A2,596$297.9K<0.1%History
QSRRestaurant Brands International Inc.COM4,352$290.0K<0.1%History
Global X FDS37954Y715RBTCS ARTFL INTE10,147$288.8K<0.1%–
PIMCO ETF Tr72201R627SR LN ACTIVE ETF5,727$288.6K<0.1%–
Barrick Gold Corp067901108COM14,127$274.6K<0.1%–
OXLCOxford Lane Capital Corp.COM57,495$271.4K<0.1%History
Vanguard Admiral FDS Inc921932844MIDCP 400 VAL2,944$270.9K<0.1%–
iShares Tr464288752US HOME CONS ETF2,822$268.6K<0.1%–
TXTTextron IncCOM3,684$266.2K<0.1%History
Invesco Exch TRD SLF Idx FD46138J510BULSHS 2026 MUNI11,157$263.4K<0.1%–
iShares Tr464289420RUS TP200 VL ETF3,194$262.4K<0.1%–
First Tr Exchange-Traded FD33738D408FIRST TR TA HIYL6,314$259.1K<0.1%–
iShares Tr464289446RUS TOP 200 ETF1,880$258.3K<0.1%–
IBKRInteractive Brokers Group, Inc.Stock1,558$258.0K<0.1%History
RGNXREGENXBIO Inc.COM35,860$256.4K<0.1%History
Dimensional ETF Trust25434V849NATL MUN BD ETF5,265$250.5K<0.1%–
EXPDExpeditors International of Washington IncCOM2,060$247.7K<0.1%History
First Tr Exchange Traded FD33734X143HLTH CARE ALPH2,378$246.4K<0.1%–
Invesco Exch TRD SLF Idx FD46138J528BULSHS 2025 MUNI9,965$243.9K<0.1%–
Invesco Exch Traded FD Tr II46138E537NATL AMT MUNI10,457$240.9K<0.1%–
Innovator ETFs Trust45782C474US SML CP PWR B6,673$238.5K<0.1%–
BABAAlibaba Group Holding LtdADR1,766$233.5K<0.1%History
AB Active ETFs Inc00039J608HIGH YIELD ETF6,245$230.1K<0.1%–
DXDynex Capital IncCOM17,587$229.0K<0.1%History
iShares U.S. Treasury Bond ETF46429B267ETF9,889$227.3K<0.1%–
BDXBecton Dickinson & CoStock982$224.9K<0.1%History
SPDR Series Trust78468R622ST BLOO HIGH ETF2,353$224.2K<0.1%–
First Tr Exchange Traded FD33738R407NASDAQ BUYWRITE11,837$223.1K<0.1%–
BRBroadridge Financial Solutions, Inc.Stock918$222.6K<0.1%History
Innovator ETFs Trust45782C466GRWT100 PWR BF4,747$220.1K<0.1%–
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL3,136$218.4K<0.1%–
JDJD.com, Inc.SPON ADS CL A5,279$217.1K<0.1%History
IVTInvenTrust Properties Corp.COM NEW7,390$217.0K<0.1%History
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG10,750$216.8K<0.1%–
Vanguard Wellington FD921935508US MOMENTUM1,418$215.1K<0.1%–
First Tr Exchange Traded FD33738R860NASDAQ BK ETF6,993$212.6K<0.1%–
IFNAberdeen India Fund, Inc.COM13,431$211.8K<0.1%History
Innovator ETFs Trust45783Y681NASDAQ 100 MANA7,815$211.1K<0.1%–
iShares Tr46435G250HIGH YLD SYSTM B4,457$209.9K<0.1%–
iShares Tr46438G406IBONDS OCT 20258,160$209.5K<0.1%–
SNDXSyndax Pharmaceuticals IncCOM16,985$208.7K<0.1%History
PCARPaccar IncCOM2,133$207.7K<0.1%History
LKQLKQ CorpCOM4,824$205.2K<0.1%History
iShares Tr464287374NORTH AMERN NAT4,470$203.2K<0.1%–
Fidelity Merrimack STR Tr316188101CORP BOND ETF4,306$202.2K<0.1%–
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM12,153$160.5K<0.1%History
ACTUActuate Therapeutics, Inc.COM23,675$160.3K<0.1%History
XFLTXAI Floating Rate & Alternative Income TrustCOM27,018$159.7K<0.1%History
RCKTRocket Pharmaceuticals, Inc.COM23,575$157.2K<0.1%History
PDMPiedmont Realty Trust, Inc.COM CL A19,322$142.4K<0.1%History
EVVEaton Vance Ltd Duration Income FundCOM12,211$121.9K<0.1%History
INABIN8BIO, Inc.COM700,680$116.3K<0.1%History
LTRNLantern Pharma Inc.COM28,650$101.4K<0.1%History
JPCNuveen Preferred & Income Opportunities FundCOM12,541$99.8K<0.1%History
LUNRIntuitive Machines, Inc.CLASS A COM10,415$77.6K<0.1%History
BGSB&G Foods, Inc.COM10,050$69.0K<0.1%History
APTOAptose Biosciences Inc.COM NEW17,389$54.8K<0.1%History
BBDBank BradescoSP ADR PFD NEW19,463$43.4K<0.1%History
ACHVAchieve Life Sciences, Inc.COM12,950$34.6K<0.1%History
ESPREsperion Therapeutics, Inc.COM12,250$17.6K<0.1%History
DNNDenison Mines Corp.COM12,000$15.6K<0.1%History
CMLSQCumulus Media IncCOM CL A14,119$6.24K<0.1%History