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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q3 2025

Holdings as of Sep 30, 2025, filed Nov 10, 2025. Long positions only; changes compare share counts with Q2 2025.

Institution overview
Positions
1,282
+44 vs. Q2 2025
Portfolio value
$3.52B
+$191.1M (+5.7%) vs. Q2 2025
Filed
Nov 10, 2025
SEC
Holdings of Sigma Planning Corp in Q3 2025
SecurityClassSharesValue% of portfolioShare changeActionHistory
INTSIntensity Therapeutics, Inc.COM69,167$16.8K<0.1%00.0%UnchangedHistory
ATOSAtossa Therapeutics, Inc.COM24,000$20.8K<0.1%+24,000NewHistory
OPKOpko Health, Inc.COM15,807$24.5K<0.1%−2,165−12.0%ReducedHistory
TLRYTilray Brands, Inc.COM CL 216,207$28.0K<0.1%+70+0.4%AddedHistory
OXSQOxford Square Capital Corp.COM21,011$33.4K<0.1%+227+1.1%AddedHistory
BTMBitcoin Depot Inc.COM10,300$34.6K<0.1%−200−1.9%ReducedHistory
CUECue Biopharma, Inc.COM53,300$38.3K<0.1%−2,200−4.0%ReducedHistory
BLDPBallard Power Systems Inc.COM15,189$41.3K<0.1%+15,189NewHistory
IBRXImmunityBio, Inc.COM17,000$41.8K<0.1%00.0%UnchangedHistory
SBSafe Bulkers, Inc.COM11,875$52.7K<0.1%+172+1.5%AddedHistory
GGBGerdau S.A.SPON ADR REP PFD17,252$53.5K<0.1%+92+0.5%AddedHistory
ASMAvino Silver & Gold Mines LtdCOM10,482$55.0K<0.1%−4,135−28.3%ReducedHistory
IAFAbrdn Australia Equity Fund, Inc.COM12,100$55.5K<0.1%00.0%UnchangedHistory
ATOMAtomera IncCOM12,750$56.4K<0.1%−12,050−48.6%ReducedHistory
CLOVClover Health Investments, Corp.COM CL A18,724$57.3K<0.1%+500+2.7%AddedHistory
PLUGPlug Power IncStock26,885$62.6K<0.1%+2,604+10.7%AddedHistory
BBDBank BradescoSP ADR PFD NEW19,463$65.9K<0.1%+19,463NewHistory
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,791$66.7K<0.1%+311+1.9%AddedHistory
HIOWestern Asset High Income Opportunity Fund Inc.COM17,632$67.7K<0.1%+204+1.2%AddedHistory
BEATHeartBeam, Inc.COM42,400$70.0K<0.1%−31,450−42.6%ReducedHistory
DNUTKrispy Kreme, Inc.COM19,650$76.0K<0.1%+19,650NewHistory
RCReady Capital CorpCOM19,911$77.1K<0.1%+563+2.9%AddedHistory
BTQBTQ Technologies Corp.COM11,300$78.2K<0.1%+11,300NewHistory
STGWStagwell IncCOM CL A14,000$78.8K<0.1%−771−5.2%ReducedHistory
GABGabelli Equity Trust IncCOM12,994$79.1K<0.1%+52+0.4%AddedHistory
FINVFinVolution GroupSPONSORED ADS11,000$81.1K<0.1%+11,000NewHistory
WUWestern Union COStock10,510$84.0K<0.1%+189+1.8%AddedHistory
NVAXNovavax IncCOM NEW10,108$87.6K<0.1%+10,108NewHistory
TWITitan International IncCOM12,069$91.2K<0.1%00.0%UnchangedHistory
CIKUBS Asset Management Income Fund, Inc.COM31,435$92.1K<0.1%00.0%UnchangedHistory
UAMYUnited States Antimony CorpCOM14,960$92.8K<0.1%−40−0.3%ReducedHistory
PFLTPennantPark Floating Rate Capital Ltd.COM10,495$93.3K<0.1%+56+0.5%AddedHistory
MPTMedical Properties Trust IncCOM18,752$95.1K<0.1%−4,810−20.4%ReducedHistory
SCWO374Water Inc.Common Stock335,893$96.4K<0.1%+32,000+10.5%AddedHistory
NATNordic American Tankers LtdCOM30,774$96.6K<0.1%−3,249−9.5%ReducedHistory
NIMNuveen Select Maturities Municipal FundSH BEN INT10,474$97.0K<0.1%00.0%UnchangedHistory
SWBISmith & Wesson Brands, Inc.COM10,257$101.7K<0.1%+46+0.5%AddedHistory
RDWRedwire CorpStock11,364$102.2K<0.1%+11,364NewHistory
IGRCbre Global Real Estate Income FundCOM19,962$102.6K<0.1%+142+0.7%AddedHistory
BBAIBigBear.ai Holdings, Inc.COM16,100$105.0K<0.1%−800−4.7%ReducedHistory
LUNRIntuitive Machines, Inc.CLASS A COM10,061$105.8K<0.1%+10,061NewHistory
XRXXerox Holdings CorpCOM NEW28,366$106.7K<0.1%+12,994+84.5%AddedHistory
PSECProspect Capital CorpCOM39,033$107.3K<0.1%−2,445−5.9%ReducedHistory
EFTEaton Vance Floating-Rate Income TrustCOM10,006$117.8K<0.1%+10,006NewHistory
GNLGlobal Net Lease, Inc.COM NEW15,432$125.5K<0.1%−8,202−34.7%ReducedHistory
BTGB2GOLD CorpCOM25,700$127.2K<0.1%+25,700NewHistory
CLFCleveland-Cliffs Inc.COM12,470$152.1K<0.1%+840+7.2%AddedHistory
LANDGladstone Land CorpCOM16,665$152.6K<0.1%+3,619+27.7%AddedHistory
RCATRed Cat Holdings, Inc.Stock14,834$153.5K<0.1%+1,150+8.4%AddedHistory
Northern LTS FD Tr IV66538H179MAIN BUYWRITE11,112$157.9K<0.1%−248−2.2%Reduced–
RQICohen & Steers Quality Income Realty Fund IncCEF12,812$159.8K<0.1%−5,439−29.8%ReducedHistory
EFREaton Vance Senior Floating-Rate TrustCOM14,422$165.0K<0.1%+127+0.9%AddedHistory
HAFNHafnia LtdCOMMON STOCK27,600$165.3K<0.1%−400−1.4%ReducedHistory
CGTXCognition Therapeutics IncCOM127,090$171.6K<0.1%−20,900−14.1%ReducedHistory
CMBTCmb.tech NVSHS18,338$172.2K<0.1%+18,338NewHistory
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG14,700$173.8K<0.1%00.0%UnchangedHistory
CLSKCleanspark, Inc.COM NEW12,758$185.0K<0.1%−2,500−16.4%ReducedHistory
Global X FDS37950E291GLOBX SUPDV US10,509$185.9K<0.1%+10,509New–
VanEck ETF Trust92189F452MORTGAGE REIT17,300$186.3K<0.1%+3,100+21.8%Added–
BHVNBiohaven Ltd.COM12,467$187.1K<0.1%+1,146+10.1%AddedHistory
AGFirst Majestic Silver CorpCOM15,259$187.5K<0.1%−1,623−9.6%ReducedHistory
FLGFlagstar Bank, National AssociationStock16,325$188.6K<0.1%−2,913−15.1%ReducedHistory
CIMChimera Investment CorpCOM SHS14,274$188.7K<0.1%−368−2.5%ReducedHistory
New Gold Inc Cda644535106COM26,390$189.5K<0.1%−200−0.8%Reduced–
MARAMARA Holdings, Inc.COM10,604$193.6K<0.1%−120−1.1%ReducedHistory
ADPTAdaptive Biotechnologies CorpCOM13,015$194.7K<0.1%+13,015NewHistory
iShares Tr46429B309MSCI INDONIA ETF11,142$195.5K<0.1%+11,142New–
HIGHartford Insurance Group, Inc.Stock1,502$200.4K<0.1%−234−13.5%ReducedHistory
Cambria ETF Tr132061706EMRG SHAREHLDR5,407$201.1K<0.1%−16,779−75.6%Reduced–
State Street SPDR S&P Biotech ETF78464A870ETF2,009$201.3K<0.1%+2,009New–
iShares Inc464286525MSCI GBL MIN VOL1,679$201.4K<0.1%+1,679New–
DDOGDatadog, Inc.CL A COM1,421$202.3K<0.1%+1,421NewHistory
iShares Inc46434G814MSCI MLY ETF NEW7,826$202.8K<0.1%+7,826New–
Ea Series Trust02072L433AST EQU KIN ETF5,905$204.2K<0.1%+5,905New–
DJTWWTrump Media & Technology Group Corp.*W EXP 03/25/20225,415$205.4K<0.1%00.0%UnchangedHistory
Simplify Exchange Traded Fun82889N772HEALTH CARE ETF6,493$205.9K<0.1%+6,493New–
ONBOld National BancorpStock9,396$206.2K<0.1%+40.0%AddedHistory
TSITCW Strategic Income Fund IncCOM41,952$206.4K<0.1%00.0%UnchangedHistory
PSNParsons CorpCOM2,495$206.9K<0.1%+2,495NewHistory
SAMBoston Beer Co IncCL A980$207.2K<0.1%+980NewHistory
CIENCiena CorpCOM NEW1,424$207.4K<0.1%−1,115−43.9%ReducedHistory
Innovator ETFs Trust45783Y814LADERD ALCTN PWR4,246$207.4K<0.1%−578−12.0%Reduced–
SFMSprouts Farmers Market, Inc.COM1,907$207.5K<0.1%−204−9.7%ReducedHistory
First Tr Exchng Traded FD VI33740U307FT VEST US EQT4,106$207.5K<0.1%+4,106New–
Innovator ETFs Trust45782C474US SML CP PWR B5,163$208.4K<0.1%+5,163New–
JPCNuveen Preferred & Income Opportunities FundCOM25,413$208.4K<0.1%+25,413NewHistory
AB Active ETFs Inc00039J608HIGH YIELD ETF5,533$210.0K<0.1%+5,533New–
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG9,750$210.2K<0.1%+9,750New–
Innovator ETFs Trust45783Y681NASDAQ 100 MANA6,351$210.5K<0.1%+6,351New–
Abrdn ETFs003261104BBRG ALL COMD K19,866$212.5K<0.1%00.0%Unchanged–
VRSNVerisign IncCOM760$212.6K<0.1%−5−0.7%ReducedHistory
iShares Tr46436E403MSCI US GARP ETF3,250$213.3K<0.1%−11,847−78.5%Reduced–
SONYSony Group CorpSPONSORED ADR7,412$213.4K<0.1%+7,412NewHistory
AMPAmeriprise Financial IncCOM435$213.5K<0.1%−53−10.9%ReducedHistory
First Tr Exchange Traded FD33738R860NASDAQ BK ETF6,005$213.8K<0.1%+6,005New–
Amplify ETF Tr032108409CWP ENHANCED DIV4,815$214.6K<0.1%+4,815New–
NWLNewell Brands Inc.Stock40,970$214.7K<0.1%+1,685+4.3%AddedHistory
ARK ETF Tr00214Q302GENOMIC REV ETF7,738$214.9K<0.1%+7,738New–
Innovator ETFs Trust45782C417US EQTY PWR BUF5,427$215.4K<0.1%−50−0.9%Reduced–
NEANuveen AMT-Free Quality Municipal Income FundCOM18,947$215.8K<0.1%+153+0.8%AddedHistory

Options (8)

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 Q3 2025
SecurityClassPutsCalls
AMATApplied Materials IncStock–$374.8K
UBERUber Technologies, IncStock–$266.0K
AAPLApple Inc.Stock–$237.5K
CNCCentene CorpStock–$178.4K
SPYSPDR S&P 500 ETF TrustETF$128.6K–
FFord Motor CoStock–$114.8K
XRXXerox Holdings CorpCOM NEW$11.4K–
NWLNewell Brands Inc.Stock$1.44K–

Sold out since Q2 2025 (99)

Positions held at the end of Q2 2025 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q2 2025
SecurityClassShares in Q2 2025Value in Q2 2025% of portfolio in Q2 2025History
iShares Inc46434G764MSCI EMRG CHN23,604$1.49M<0.1%–
TGTXTG Therapeutics, Inc.COM35,227$1.27M<0.1%History
iShares Tr46436E833IBONDS 28 TRM TS55,618$1.24M<0.1%–
iShares Ibonds Dec 2028 Term Corporate ETF46435U515ETF48,575$1.23M<0.1%–
iShares Ibonds Dec 2027 Term Corporate ETF46435UAA9ETF50,210$1.22M<0.1%–
PAYPaymentus Holdings, Inc.Stock32,600$1.07M<0.1%History
iShares Ibonds Dec 2026 Term Corporate ETF46435GAA0ETF41,097$996.6K<0.1%–
iShares Tr46436E841IBONDS 27 TRM TS44,256$995.3K<0.1%–
TOSTToast, Inc.Stock20,777$920.2K<0.1%History
iShares Tr46435U333FOCUSD VAL FAC12,046$867.2K<0.1%–
iShares Ibonds 2027 Term High Yield and Income ETF46436E478ETF35,007$789.1K<0.1%–
USOUnited States Oil Fund, LPUNITS10,656$779.0K<0.1%History
MOHMolina Healthcare, Inc.COM2,575$767.1K<0.1%History
RGLDRoyal Gold IncStock4,078$725.3K<0.1%History
VanEck ETF Trust92189F486IG FLOA RATE ETF27,924$712.1K<0.1%–
STTState Street CorpCOM6,542$695.7K<0.1%History
CPRXCatalyst Pharmaceuticals, Inc.COM31,987$694.1K<0.1%History
CARTMaplebear Inc.COM15,046$680.7K<0.1%History
ATATAtour Lifestyle Holdings LtdSPONSORED ADS20,085$653.0K<0.1%History
LBLandBridge Co LLCCL A9,034$610.5K<0.1%History
First Tr Exchange-Traded FD337344105NASDAQ-100 SEL4,337$592.0K<0.1%–
BYDBoyd Gaming CorpCOM7,388$578.0K<0.1%History
RRCRange Resources CorpCOM14,190$577.1K<0.1%History
SPPPSprott Physical Platinum & Palladium TrustPHYSICAL PLATINU48,420$568.0K<0.1%History
PAYCPaycom Software, Inc.Stock2,324$537.9K<0.1%History
OPFIOppFi Inc.COM CL A38,396$537.2K<0.1%History
Fidelity Covington Trust31609A206ENHANCED SML CAP16,247$519.7K<0.1%–
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE8,180$517.6K<0.1%–
TGITriumph Group IncCOM19,400$499.6K<0.1%History
SPDR Series Trust78468R523ST STR BL 12 ETF4,975$494.7K<0.1%–
CPNGCoupang, Inc.CL A16,413$491.7K<0.1%History
Aris Water Solutions, Inc.04041L106CLASS A COM20,642$488.2K<0.1%–
TRUTransUnionCOM5,085$447.5K<0.1%History
iShares Tr464288703MRNING SM CP ETF7,051$432.9K<0.1%–
DAVEDave Inc.CLASS A COM NEW1,582$424.6K<0.1%History
RBLXRoblox CorpStock4,000$420.7K<0.1%History
iShares Tr464287739U.S. REAL ES ETF4,399$416.9K<0.1%–
iShares Tr464288794US BR DEL SE ETF2,291$387.4K<0.1%–
CLBTCellebrite DI Ltd.ORDINARY SHARES24,000$384.0K<0.1%History
CHTRCharter Communications, Inc.CL A935$382.3K<0.1%History
Goldman Sachs ETF Tr381430230ULTR SHOR BD ETF7,509$379.7K<0.1%–
ESTCElastic N.V.ORD SHS4,471$377.0K<0.1%History
CNQCanadian Natural Resources LtdCOM11,761$369.3K<0.1%History
VRSKVerisk Analytics, Inc.COM1,174$365.8K<0.1%History
BKRBaker Hughes CoCL A9,354$358.6K<0.1%History
FLOCFlowco Holdings Inc.COM CL A20,000$356.2K<0.1%History
PENPenumbra IncCOM1,328$340.8K<0.1%History
PPCPilgrims Pride CorpStock7,233$325.3K<0.1%History
BXSLBlackstone Secured Lending FundCOMMON STOCK10,482$322.3K<0.1%History
American Centy ETF Tr025072505DIVERSIFIED MU6,585$322.2K<0.1%–
iShares Tr464288208MRGSTR MD CP ETF3,911$311.6K<0.1%–
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR6,138$307.8K<0.1%–
CROXCrocs, Inc.COM2,974$301.2K<0.1%History
Sprott FDS Tr85208P808JUNIOR URANIUM14,234$300.8K<0.1%–
Golden Ocean Group LtdG39637205SHS NEW40,964$299.9K<0.1%–
CDECoeur Mining, Inc.COM NEW33,598$297.7K<0.1%History
NXTNextpower Inc.Stock5,326$289.6K<0.1%History
ALHCAlignment Healthcare, Inc.COM20,070$281.0K<0.1%History
AALAmerican Airlines Group Inc.Stock24,035$269.7K<0.1%History
DUOLDuolingo, Inc.CL A COM648$265.7K<0.1%History
LULUlululemon athletica inc.Stock1,099$261.2K<0.1%History
HUMHumana IncStock1,044$255.3K<0.1%History
IMOImperial Oil LtdCOM NEW3,208$255.0K<0.1%History
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM9,350$240.8K<0.1%History
iShares Tr46435U432IBONDS DEC 258,945$239.4K<0.1%–
iShares Tr46438G612LARG CAP JUN ETF8,687$239.0K<0.1%–
ZBHZimmer Biomet Holdings, Inc.Stock2,612$238.3K<0.1%History
WHRWhirlpool CorpStock2,347$238.0K<0.1%History
Innovator U.S. Equity Power Buffer ETF - October45782C797ETF5,757$237.8K<0.1%–
INGRIngredion IncCOM1,751$237.5K<0.1%History
SPDR Series Trust78468R531SPDR S&P 500 ESG4,029$235.9K<0.1%–
VanEck ETF Trust92189H748CLO ETF4,398$232.9K<0.1%–
Pacer Lunt Large Cap Multi-Factor Alternator ETF69374H816ETF4,675$231.0K<0.1%–
CHKPCheck Point Software Technologies LtdORD1,042$230.6K<0.1%History
Direxion Shares ETF Trust25459Y207NASDAQ 100 EQ WT2,322$228.3K<0.1%–
Innovator ETFs Trust45782C334GRWT100 PWR BF4,459$227.5K<0.1%–
LOARLoar Holdings Inc.COM SHS2,637$227.2K<0.1%History
MTZMastec IncCOM1,333$227.2K<0.1%History
Innovator ETFs Trust45782C318US EQTY PWR BUF5,995$226.5K<0.1%–
BJBJ's Wholesale Club Holdings, Inc.COM2,095$225.9K<0.1%History
iShares Tr4642886613 7 YR TREAS BD1,894$225.5K<0.1%–
PBAPembina Pipeline CorpCOM5,862$219.9K<0.1%History
First Tr Exchange-Traded FD33738D838INTER GOVT ETF10,840$218.4K<0.1%–
CAVACava Group, Inc.COM2,589$218.0K<0.1%History
ODFLOld Dominion Freight Line, Inc.COM1,321$214.4K<0.1%History
GNRCGenerac Holdings Inc.Stock1,474$211.1K<0.1%History
First Tr Exchng Traded FD VI33740F797ACTV FCTR SMCP6,947$207.6K<0.1%–
CAGConagra Brands Inc.Stock10,124$207.2K<0.1%History
Pacer Trendpilot US Mid Cap ETF69374H204ETF5,897$205.7K<0.1%–
WENWendy's CoStock18,004$205.6K<0.1%History
OGEOGE Energy Corp.COM4,591$203.7K<0.1%History
HLHecla Mining CoCOM31,598$189.3K<0.1%History
BBBLACKBERRY LtdCOM24,327$111.4K<0.1%History
UWMCUWM Holdings CorpCOM CL A24,198$100.2K<0.1%History
NTLAIntellia Therapeutics, Inc.COM10,616$99.6K<0.1%History
PLGPlatinum Group Metals LtdCOM32,500$49.7K<0.1%History
XERSXeris Biopharma Holdings, Inc.COM10,050$46.9K<0.1%History
LCIDLucid Group, Inc.COM15,280$32.2K<0.1%History
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20210,218$344<0.1%History