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Livermore
Livermore
ZHEN

Sigma Planning Corp

SEC CIK
0001449126
Latest filing
Aug 7, 2026

Holdings in Q2 2026

Holdings as of Jun 30, 2026, filed Aug 7, 2026. Long positions only; changes compare share counts with Q1 2026.

Institution overview
Positions
1,394
+92 vs. Q1 2026
Portfolio value
$3.97B
+$371.1M (+10.3%) vs. Q1 2026
Filed
Aug 7, 2026
SEC
Holdings of Sigma Planning Corp in Q2 2026
SecurityClassSharesValue% of portfolioShare changeActionHistory
XRXDWXerox Holdings Corp*W EXP 02/11/20233,345$9.17K<0.1%+5,900+21.5%AddedHistory
OPKOpko Health, Inc.COM15,807$23.7K<0.1%00.0%UnchangedHistory
GEVOGevo, Inc.COM PAR17,000$25.5K<0.1%00.0%UnchangedHistory
OXSQOxford Square Capital Corp.COM21,879$28.9K<0.1%+569+2.7%AddedHistory
PLUGPlug Power IncStock13,881$37.6K<0.1%−110−0.8%ReducedHistory
KLRSKalaris Therapeutics, Inc.COM10,167$41.4K<0.1%+10,167NewHistory
BLDPBallard Power Systems Inc.COM11,664$45.4K<0.1%−3,440−22.8%ReducedHistory
GGBGerdau S.A.SPON ADR REP PFD13,499$54.5K<0.1%+73+0.5%AddedHistory
ACHRArcher Aviation Inc.Stock12,008$56.8K<0.1%−2,410−16.7%ReducedHistory
BTQBTQ Technologies Corp.COM10,660$57.5K<0.1%+10,660NewHistory
NATNordic American Tankers LtdCOM11,936$66.1K<0.1%−24−0.2%ReducedHistory
BBDBank BradescoSP ADR PFD NEW19,550$67.8K<0.1%+38+0.2%AddedHistory
SBSafe Bulkers, Inc.COM11,671$73.6K<0.1%−40.0%ReducedHistory
SERVServe Robotics Inc.COM11,871$78.1K<0.1%+1,425+13.6%AddedHistory
CIKCredit Suisse Asset Management Income Fund, Inc.COM31,587$78.3K<0.1%+152+0.5%AddedHistory
MPTMedical Properties Trust IncCOM17,581$81.2K<0.1%+20.0%AddedHistory
PSECProspect Capital CorpCOM36,685$84.7K<0.1%+117+0.3%AddedHistory
PCTPureCycle Technologies, Inc.COM10,746$87.2K<0.1%+500+4.9%AddedHistory
TWITitan International IncCOM12,069$93.1K<0.1%00.0%UnchangedHistory
IGRCbre Global Real Estate Income FundCOM20,252$93.4K<0.1%+211+1.1%AddedHistory
Putnam ETF Trust746729813FRANK MINN ETF11,346$101.2K<0.1%+11,346New–
NIMNuveen Select Maturities Municipal FundSH BEN INT10,926$102.9K<0.1%+15+0.1%AddedHistory
XRXXerox Holdings CorpCOM NEW33,274$104.1K<0.1%+1,371+4.3%AddedHistory
SMRNuscale Power CorpCL A COM10,453$104.8K<0.1%−7,501−41.8%ReducedHistory
SCWO374Water Inc.COM55,553$105.6K<0.1%+3,200+6.1%AddedHistory
BCHTBirchtech Corp.COM52,412$107.4K<0.1%00.0%UnchangedHistory
EFTEaton Vance Floating-Rate Income TrustCOM10,087$108.9K<0.1%+25+0.2%AddedHistory
LACLithium Americas Corp.Stock28,341$109.1K<0.1%+28,341NewHistory
RAILFreightCar America, Inc.COM11,377$110.8K<0.1%+11,377NewHistory
MNTNMNTN, Inc.CL A12,400$114.1K<0.1%+12,400NewHistory
ABRArbor Realty Trust IncCOM21,367$115.8K<0.1%−1,574−6.9%ReducedHistory
GNLGlobal Net Lease, Inc.COM NEW13,227$118.3K<0.1%00.0%UnchangedHistory
CLFCleveland-Cliffs Inc.COM12,726$119.5K<0.1%+757+6.3%AddedHistory
NMZNuveen Municipal High Income Opportunity FundCOM11,411$120.6K<0.1%+810+7.6%AddedHistory
FLOFlowers Foods IncCOM15,469$122.2K<0.1%+2,668+20.8%AddedHistory
PDOPIMCO Dynamic Income Opportunities FundCOM BEN SHS10,680$141.2K<0.1%+10,680NewHistory
MQYBlackRock Muniyield Quality Fund, Inc.COM12,420$144.1K<0.1%+20+0.2%AddedHistory
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT31,316$151.6K<0.1%−54,398−63.5%ReducedHistory
EFREaton Vance Senior Floating-Rate TrustCOM14,441$153.1K<0.1%+30.0%AddedHistory
RDWRedwire CorpStock13,148$160.8K<0.1%−2,186−14.3%ReducedHistory
PPLTabrdn Platinum ETF TrustPHYSCL PLATM SHS11,490$162.4K<0.1%−700−5.7%ReducedConverted for a 10-for-1 splitHistory
IBRXImmunityBio, Inc.COM19,015$166.5K<0.1%+1,300+7.3%AddedHistory
CDECoeur Mining, Inc.COM NEW10,392$169.6K<0.1%−51,140−83.1%ReducedHistory
NTLAIntellia Therapeutics, Inc.COM10,141$171.6K<0.1%+10,141NewHistory
HAFNHafnia LtdCOMMON STOCK26,200$174.0K<0.1%+1,200+4.8%AddedHistory
KOPNKopin CorpCOM38,875$174.2K<0.1%+38,875NewHistory
MARAMARA Holdings, Inc.COM12,652$175.7K<0.1%−757−5.6%ReducedHistory
UNGUnited States Natural Gas Fund, LPETF15,234$178.5K<0.1%+1,592+11.7%AddedHistory
PBR.APetrobras - Petroleo Brasileiro SASP ADR NON VTG12,244$179.3K<0.1%+444+3.8%AddedHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF16,634$180.3K<0.1%−2,605−13.5%Reduced–
LANDGladstone Land CorpCOM21,238$181.2K<0.1%+995+4.9%AddedHistory
CLSKCleanspark, Inc.COM NEW12,608$183.4K<0.1%+475+3.9%AddedHistory
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM12,410$184.7K<0.1%+12,410NewHistory
BEATHeartBeam, Inc.COM247,700$185.8K<0.1%+115,150+86.9%AddedHistory
Global X FDS37954Y657US PFD ETF10,120$189.1K<0.1%+10,120New–
TSITCW Strategic Income Fund IncCOM41,952$189.2K<0.1%00.0%UnchangedHistory
JPCNuveen Preferred & Income Opportunities FundCOM24,728$194.9K<0.1%−178−0.7%ReducedHistory
LIVELive Ventures IncCOM NEW20,677$197.3K<0.1%+60+0.3%AddedHistory
RCATRed Cat Holdings, Inc.Stock18,757$199.8K<0.1%+330+1.8%AddedHistory
FROGJFrog LtdStock2,203$200.2K<0.1%+2,203NewHistory
ECEcopetrol S.A.SPONSORED ADS14,063$200.3K<0.1%−2,641−15.8%ReducedHistory
RBB FD Inc74933W601MOTLEY FOL ETF2,637$200.8K<0.1%+2,637New–
DCODucommun IncCOM1,086$201.1K<0.1%+1,086NewHistory
NGGNational Grid PLCSPONSORED ADR NE2,427$201.2K<0.1%+2,427NewHistory
Principal Exchange Traded FD74255Y102ACTIVE HIGH YL10,567$201.6K<0.1%+10,567New–
First Tr Exchng Traded FD VI33740U307FT VEST US EQT3,661$201.6K<0.1%+3,661New–
Calamos ETF Tr12811T688CALLMOS BIT STRU8,572$201.7K<0.1%00.0%Unchanged–
Invesco Exch Traded FD Tr II46138G540ESG NASDAQ 1003,939$201.8K<0.1%+3,939New–
NOKNokia CorpSPONSORED ADR15,208$202.0K<0.1%+1,906+14.3%AddedHistory
Innovator U.S. Equity Power Buffer ETF - October45782C797ETF4,352$202.0K<0.1%−1,342−23.6%Reduced–
CPRTCopart IncCOM7,191$202.7K<0.1%−963−11.8%ReducedHistory
Neos ETF Trust78433H501NEOS ENH INC 1-34,074$202.9K<0.1%+4,074New–
NDSNNordson CorpCOM676$204.0K<0.1%+676NewHistory
First Tr Exchng Traded FD VI33740F417FT VEST U.S7,347$204.1K<0.1%+7,347New–
Flexshares Tr33939L860QUALT DIVD IDX2,271$204.2K<0.1%+2,271New–
CHRWC. H. Robinson Worldwide, Inc.COM NEW1,085$204.4K<0.1%+1,085NewHistory
LTCLTC Properties IncREIT5,317$204.4K<0.1%−83−1.5%ReducedHistory
Calamos ETF Tr12811T852NASDAQ 100 STRU7,472$204.8K<0.1%+7,472New–
Invesco Exchange Traded FD T46137V274S&P500 EQL UTL2,529$205.2K<0.1%−30−1.2%Reduced–
Alps ETF Tr00162Q858SECTR DIV DOGS3,014$205.6K<0.1%+3,014New–
CIMChimera Investment CorpCOM SHS15,494$206.7K<0.1%+804+5.5%AddedHistory
American Centy ETF Tr025072307US QUALITY GROW1,751$206.7K<0.1%−2,135−54.9%Reduced–
CICigna GroupStock751$207.0K<0.1%−54−6.7%ReducedHistory
BHVNBiohaven Ltd.COM13,936$207.4K<0.1%+612+4.6%AddedHistory
Invesco Exch Traded FD Tr II46138E115S&P SMLCP INFO2,250$207.9K<0.1%+2,250New–
CRKComstock Resources IncCOM13,969$208.4K<0.1%−4,253−23.3%ReducedHistory
DVADavita Inc.COM939$208.9K<0.1%+939NewHistory
LUNRIntuitive Machines, Inc.CLASS A COM9,773$209.0K<0.1%+9,773NewHistory
SOLSSolstice Advanced Materials Inc.COM SHS2,361$209.2K<0.1%+2,361NewHistory
BlackRock ETF Trust09290C509ISHA US AWAR ETF2,611$209.3K<0.1%+2,611New–
MSIMotorola Solutions, Inc.Stock504$209.3K<0.1%+34+7.2%AddedHistory
Innovator ETFs Trust45782C318US EQTY PWR BUF5,072$209.5K<0.1%+5,072New–
SPDR Series Trust78464A706ST STR GLB DOW1,137$210.2K<0.1%−820−41.9%Reduced–
Roundhill ETF Trust77926X668MAGNIFICENT SEVE4,985$211.0K<0.1%+4,985New–
Invesco Exch Traded FD Tr II46138E784EMRNG MKT SVRG9,750$211.1K<0.1%00.0%Unchanged–
JBHTHunt J B Transport Services IncCOM731$211.4K<0.1%+731NewHistory
PAAPlains All American Pipeline LPUNIT LTD PARTN9,506$211.6K<0.1%−195−2.0%ReducedHistory
QQnity Electronics, Inc.COMMON STOCK1,296$211.6K<0.1%+1,296NewHistory
BKHBlack Hills CorpCOM2,847$211.8K<0.1%+2,847NewHistory
Innovator ETFs Trust45782C565US EQTY ULTRA BU5,275$211.8K<0.1%+5,275New–

Options (9)

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 2026
SecurityClassPutsCalls
CNCCentene CorpStock–$604.0K
NVDANVIDIA CorpStock$76.4K$304.9K
MUMicron Technology IncStock–$261.6K
PLTRPalantir Technologies Inc.Stock$235.6K–
SPYSPDR S&P 500 ETF TrustETF$182.9K–
FFord Motor CoStock–$181.4K
WFCWells Fargo & CompanyStock–$173.0K
Entrepreneurshares Series Tr293828877ERSH PRI PUB ETF–$52.5K
XRXXerox Holdings CorpCOM NEW$1.29K–

Sold out since Q1 2026 (87)

Positions held at the end of Q1 2026 that are gone from this filing.

Positions of Sigma Planning Corp sold out since Q1 2026
SecurityClassShares in Q1 2026Value in Q1 2026% of portfolio in Q1 2026History
HONHoneywell International IncCOM29,391$6.64M0.2%History
Advisorshares Tr00768Y560ADVISORSHS ETF29,460$1.91M0.1%–
FSLYFastly, Inc.CL A65,057$1.89M0.1%History
CBOECboe Global Markets, Inc.COM6,073$1.71M<0.1%History
TDWTidewater IncCOM20,416$1.71M<0.1%History
REGNRegeneron Pharmaceuticals, Inc.COM2,012$1.55M<0.1%History
Goldman Sachs ETF Tr38149W432TECHN OPPOR ETF39,362$1.43M<0.1%–
RGLDRoyal Gold IncStock5,396$1.37M<0.1%History
HALOHalozyme Therapeutics, Inc.COM20,592$1.33M<0.1%History
iShares Tr46435G847MSCI ACWI EXUS32,340$1.32M<0.1%–
MRNAModerna, Inc.Stock25,705$1.31M<0.1%History
CENXCentury Aluminum CoCOM22,158$1.30M<0.1%History
First Tr Exchng Traded FD VI33740F888SMIT UNCO BD ETF52,079$1.29M<0.1%–
WPMWheaton Precious Metals Corp.COM9,574$1.25M<0.1%History
ESTAEstablishment Labs Holdings Inc.COM20,424$1.16M<0.1%History
Global X FDS37960A651SUPERDVDND REIT50,709$1.08M<0.1%–
Global X FDS37960A727BLOCKCHAIN & BIT19,010$979.5K<0.1%–
AGIAlamos Gold IncStock21,994$977.2K<0.1%History
First Tr Exchange Traded FD33738R662INTL DEV STRNGTH24,919$972.7K<0.1%–
Pacer FDS Tr69374H287METAURUS NASDAQ27,200$952.9K<0.1%–
First Tr Exchange-Traded FD33733E856FT VEST GOLD37,222$950.3K<0.1%–
LGNDLigand Pharmaceuticals IncCOM NEW4,500$898.4K<0.1%History
Invesco Exch Traded FD Tr II46138G508SR LN ETF43,848$894.9K<0.1%–
VanEck ETF Trust92189F387SHRT HGH YLD MUN38,865$880.7K<0.1%–
SFLSFL Corp Ltd.SHS79,636$859.3K<0.1%History
AUGOAura Minerals Inc.SHS10,310$841.3K<0.1%History
Northern LTS FD Tr IV66538H179MAIN BUYWRITE54,349$765.2K<0.1%–
Janus Detroit STR Tr47103U753B-BBB CLO ETF15,818$737.2K<0.1%–
UIUbiquiti Inc.COM930$735.0K<0.1%History
Invesco Exch Traded FD Tr II46138E131S&P SMLCAP HIG55,535$728.7K<0.1%–
BWXTBWX Technologies, Inc.COM3,219$658.2K<0.1%History
HMYHarmony Gold Mining Co LtdADR42,775$657.5K<0.1%History
KTOSKratos Defense & Security Solutions, Inc.COM NEW8,442$595.3K<0.1%History
Invesco Exch Traded FD Tr II46138E628KBW BK ETF7,459$590.2K<0.1%–
Orla MNG Ltd New68634K106COM36,250$584.7K<0.1%–
PAHCPhibro Animal Health CorpCL A COM10,516$581.6K<0.1%History
Two RDS Shared Tr90214Q766ANFIELD UNVL ETF59,000$549.6K<0.1%–
AMPXAmprius Technologies, Inc.COMMON STOCK30,285$510.6K<0.1%History
VanEck ETF Trust92189H409HIGH YLD MUNIETF9,194$461.0K<0.1%–
iShares Tr46435G672CORE INTL AGGR8,977$449.2K<0.1%–
Invesco Exch Traded FD Tr II46138G300S&P SMLCAP QTY9,561$403.1K<0.1%–
SPDR Series Trust78468R556SP O&G EXPL PRO2,110$383.7K<0.1%–
ALGNAlign Technology IncCOM2,139$366.7K<0.1%History
LQDTLiquidity Services IncCOM11,700$357.7K<0.1%History
WisdomTree Tr97717Y550EFFICIENT GLD PL3,371$341.1K<0.1%–
PKSTPeakstone Realty TrustCommon Stock15,829$330.7K<0.1%History
BlackRock ETF Trust II092528843ISH HIG MUN ETF6,307$302.6K<0.1%–
iShares Tr464288281JPMORGAN USD EMG3,218$302.3K<0.1%–
LDOSLeidos Holdings, Inc.COM1,921$298.7K<0.1%History
Fidelity Merrimack STR Tr316188846SYSTEMATIC MUN5,949$295.3K<0.1%–
KRMNKarman Holdings Inc.COMMON STOCK3,673$294.0K<0.1%History
PSIXPower Solutions International, Inc.Stock4,780$291.0K<0.1%History
INTUIntuit Inc.Stock648$280.0K<0.1%History
IOTSamsara Inc.Stock7,993$253.3K<0.1%History
APOApollo Global Management, Inc.COM2,268$252.7K<0.1%History
Vanguard Scottsdale FDS92206C565TOTAL WLD BD ETF3,696$252.6K<0.1%–
DRDDrdgold LtdSPON ADR REPSTG8,315$244.2K<0.1%History
Innovator ETFs Trust45783Y251EQUITY DEFINED P8,373$243.4K<0.1%–
Fidelity Merrimack STR Tr316188853MUN BD OPPORTUN4,755$240.6K<0.1%–
Vanguard BD Index FDS92203C303VANGUARD ULTRA4,713$234.6K<0.1%–
iShares Inc46434G822MSCI JAPAN ETF2,749$232.1K<0.1%–
iShares Tr46435G250HIGH YLD SYSTM B4,985$231.9K<0.1%–
iShares Tr46438G505IBONDS OCT 20268,784$227.7K<0.1%–
SAMBoston Beer Co IncCL A975$224.6K<0.1%History
State Street SPDR Portfolio Aggregate Bond ETF78464A649ETF8,648$221.6K<0.1%–
First Tr Exchange-Traded FD33733A201DOW 30 EQL WGT5,408$219.4K<0.1%–
Dimensional ETF Trust25434V807INTERNATNAL VAL4,120$217.5K<0.1%–
DGDollar General CorpCOM1,821$216.2K<0.1%History
DJTTrump Media & Technology Group Corp.Stock23,204$215.3K<0.1%History
EQTEQT CorpStock3,333$212.1K<0.1%History
HYMCHycroft Mining Holding CorpCL A NEW6,020$211.9K<0.1%History
ETF Opportunities Trust26923N769LAFFER TEN EQ IN ADDED5,779$209.1K<0.1%–
IMOImperial Oil LtdCOM NEW1,588$207.7K<0.1%History
TSCOTractor Supply CoCOM4,548$206.0K<0.1%History
TMToyota Motor CorpADS987$203.4K<0.1%History
MLMMartin Marietta Materials IncCOM342$201.3K<0.1%History
Global X FDS37950E291GLOBX SUPDV US10,100$190.9K<0.1%–
EVEREverQuote, Inc.COM CL A10,560$162.8K<0.1%History
SSLSasol LtdSPONSORED ADR12,372$160.3K<0.1%History
FLGFlagstar Bank, National AssociationStock11,898$156.7K<0.1%History
AGNTAGNT, Inc.COM23,722$142.1K<0.1%History
MITTTPG Mortgage Investment Trust, Inc.COM NEW11,200$81.9K<0.1%History
GABGabelli Equity Trust IncCOM13,107$73.4K<0.1%History
BBAIBigBear.ai Holdings, Inc.COM13,900$48.9K<0.1%History
REIRing Energy, Inc.COM25,605$39.2K<0.1%History
CUECue Biopharma, Inc.COM38,750$8.91K<0.1%History
Gabelli Equity Tr Inc362397226RIGHT 04/14/202613,050$91<0.1%–