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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2022 年第 3 季持倉

持倉截至 2022/9/30,2022/11/10 申報。只含多頭部位,變化是跟 2022 年第 2 季比股數。

機構總覽
持股檔數
1,251
較 2022 年第 2 季 −24
總值
$26.1 億
較 2022 年第 2 季 −$1.35 億 (−4.9%)
申報日
2022/11/10
SEC
Sigma Planning Corp 在 2022 年第 3 季的持倉
證券類別股數市值佔組合 %股數變化動作紀錄
AMPEAmpio Pharmaceuticals, Inc.COM17,442$1,000<0.1%00.0%不變歷史
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20217,452$2,000<0.1%+1,638+10.4%加碼歷史
TLPHTalphera, Inc.COM10,000$2,000<0.1%−2,900−22.5%減碼歷史
AYTUAytu Biopharma, IncCOM NEW16,996$3,000<0.1%+16,996新進歷史
WTERAlkaline Water Co IncCOM NEW12,300$4,000<0.1%+12,300新進歷史
REEDReed's, Inc.COM30,445$4,000<0.1%+300+1.0%加碼歷史
CRBPCorbus Pharmaceuticals Holdings, Inc.COM32,000$5,000<0.1%00.0%不變歷史
CFORCapForce Inc.COM17,500$5,000<0.1%00.0%不變歷史
LOGCContextLogic Inc.COM CL A10,500$8,000<0.1%00.0%不變歷史
Avaya Hldgs Corp05351XAB7NOTE 2.250% 6/120,000$9,000<0.1%00.0%不變–
Bitfarms Ltd Com09173B107Stock10,000$1.10 萬<0.1%00.0%不變–
WPRTWestport Fuel Systems Inc.COM NEW13,200$1.20 萬<0.1%+1,000+8.2%加碼歷史
HCDIHarbor Custom Development, Inc.COM16,503$1.50 萬<0.1%+2,500+17.9%加碼歷史
ZOMDFZomedica Corp.COM81,750$1.70 萬<0.1%−1,000−1.2%減碼歷史
CLOVClover Health Investments, Corp.COM CL A10,700$1.80 萬<0.1%00.0%不變歷史
ONCTOncternal Therapeutics, Inc.COM20,025$1.80 萬<0.1%00.0%不變歷史
STEXStreamex Corp.COM NEW29,000$1.90 萬<0.1%+2,000+7.4%加碼歷史
SQFTPresidio Property Trust, Inc.COM CL A15,914$2.00 萬<0.1%+27+0.2%加碼歷史
CORZCore Scientific, Inc.COMMON STOCK18,500$2.40 萬<0.1%+18,500新進歷史
AGENAgenus IncCOM NEW12,100$2.50 萬<0.1%−725−5.7%減碼歷史
NVTAInvitae CorpCOM10,692$2.60 萬<0.1%−12,320−53.5%減碼歷史
SDCSmileDirectClub, Inc.CL A COM29,284$2.70 萬<0.1%00.0%不變歷史
OPKOpko Health, Inc.COM15,402$2.90 萬<0.1%00.0%不變歷史
PLGPlatinum Group Metals LtdCOM18,500$3.00 萬<0.1%−1,000−5.1%減碼歷史
AQMSAqua Metals, Inc.COM41,150$3.10 萬<0.1%+1,350+3.4%加碼歷史
TELLTellurian Inc.COM14,330$3.40 萬<0.1%+3,600+33.6%加碼歷史
XCURExicure, Inc.COM NEW21,807$3.40 萬<0.1%+21,807新進歷史
TRXTRX GOLD CorpCOM91,505$3.60 萬<0.1%+91,505新進歷史
AMRSAmyris, Inc.COM NEW12,587$3.70 萬<0.1%+81+0.6%加碼歷史
GTBPGT Biopharma, Inc.COM NEW21,395$3.80 萬<0.1%−50.0%減碼歷史
EVGNEvogene Ltd.SHS45,363$3.80 萬<0.1%+13,553+42.6%加碼歷史
CGCCanopy Growth CorpCOM14,300$3.90 萬<0.1%−50.0%減碼歷史
OGIOrganigram Global Inc.COM47,481$4.10 萬<0.1%+2,993+6.7%加碼歷史
RIGTransocean Ltd.REGISTERED SHS17,289$4.30 萬<0.1%+3,305+23.6%加碼歷史
TTITetra Technologies IncCOM12,331$4.40 萬<0.1%00.0%不變歷史
BTGB2GOLD CorpCOM14,265$4.60 萬<0.1%−3,971−21.8%減碼歷史
NSLNuveen Senior Income FundCOM10,365$4.80 萬<0.1%00.0%不變歷史
Western Digital Corp958102AP0NOTE 1.500% 2/051,000$4.80 萬<0.1%+51,000新進–
ANGIAngi Inc.COM CL A NEW16,700$4.90 萬<0.1%+1,000+6.4%加碼歷史
Advisorshares Tr00768Y495PURE CANNABIS11,524$4.90 萬<0.1%−720−5.9%減碼–
IAFAbrdn Australia Equity Fund, Inc.COM12,885$5.20 萬<0.1%+32+0.2%加碼歷史
TLRYTilray Brands, Inc.COM CL 218,891$5.20 萬<0.1%+3,275+21.0%加碼歷史
IBRXImmunityBio, Inc.COM10,750$5.30 萬<0.1%00.0%不變歷史
HNRGHallador Energy CoStock10,000$5.60 萬<0.1%00.0%不變歷史
CHSChico's Fas, Inc.COM11,500$5.60 萬<0.1%00.0%不變歷史
OXSQOxford Square Capital Corp.COM19,035$5.70 萬<0.1%+56+0.3%加碼歷史
RWTRedwood Trust IncCOM10,526$6.00 萬<0.1%+16+0.2%加碼歷史
MBRXMoleculin Biotech, Inc.COM57,500$6.10 萬<0.1%00.0%不變歷史
CLVSClovis Oncology, Inc.COM52,148$6.20 萬<0.1%+7,650+17.2%加碼歷史
MNTSMomentus Inc.COM CL A47,775$6.50 萬<0.1%+18,000+60.5%加碼歷史
SERSerina Therapeutics, Inc.COM117,200$6.60 萬<0.1%+550+0.5%加碼歷史
IGRCbre Global Real Estate Income FundCOM12,969$7.50 萬<0.1%+953+7.9%加碼歷史
EXGEaton Vance Tax-Managed Global Diversified Equity Income FundCOM10,300$7.50 萬<0.1%−2,263−18.0%減碼歷史
TUPTupperware Brands CorpCOM11,377$7.50 萬<0.1%+305+2.8%加碼歷史
VVRInvesco Senior Income TrustCOM20,903$7.80 萬<0.1%+381+1.9%加碼歷史
XXII22nd Century Group, Inc.COM85,600$7.90 萬<0.1%−9,500−10.0%減碼歷史
Portage Biotech IncG7185A128COM11,688$8.00 萬<0.1%00.0%不變–
NOKNokia CorpSPONSORED ADR19,417$8.30 萬<0.1%+3,252+20.1%加碼歷史
LTRNLantern Pharma Inc.COM17,500$8.40 萬<0.1%−100−0.6%減碼歷史
NKLANikola CorpCOM25,159$8.90 萬<0.1%−50−0.2%減碼歷史
JPCNuveen Preferred & Income Opportunities FundCOM13,601$9.50 萬<0.1%+35+0.3%加碼歷史
NIMNuveen Select Maturities Municipal FundSH BEN INT11,389$10.1 萬<0.1%00.0%不變歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM40,160$10.1 萬<0.1%+32+0.1%加碼歷史
BBDCBarings BDC, Inc.COM12,258$10.1 萬<0.1%+12,258新進歷史
CIMChimera Investment CorpCOM NEW19,620$10.2 萬<0.1%+2,332+13.5%加碼歷史
PCTPureCycle Technologies, Inc.COM12,730$10.3 萬<0.1%+12,730新進歷史
SOFISoFi Technologies, Inc.Stock21,862$10.7 萬<0.1%+1,183+5.7%加碼歷史
EZPWEzcorp IncCL A NON VTG13,987$10.8 萬<0.1%−1,737−11.0%減碼歷史
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS13,483$10.9 萬<0.1%+13,483新進歷史
VMOInvesco Municipal Opportunity TrustCOM12,186$11.1 萬<0.1%−3,550−22.6%減碼歷史
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT15,680$11.2 萬<0.1%−3,775−19.4%減碼歷史
NMZNuveen Municipal High Income Opportunity FundCOM10,933$11.2 萬<0.1%+10,933新進歷史
SIRISirius XM Holdings Inc.COM19,645$11.2 萬<0.1%+55+0.3%加碼歷史
AWPabrdn Global Premier Properties FundCOM SH BEN INT29,539$11.3 萬<0.1%−1,135−3.7%減碼歷史
Harbor Custom Development IN41150T2078% CONV PFD SR A10,300$11.4 萬<0.1%+10,300新進–
VODVodafone Group Public Ltd CoADR10,159$11.5 萬<0.1%−577−5.4%減碼歷史
NADNuveen Quality Municipal Income FundCOM10,458$11.5 萬<0.1%+10,458新進歷史
JRINuveen Real Asset Income & Growth FundCOM10,282$11.5 萬<0.1%+10,282新進歷史
TPICQTpi Composites, IncCOM10,201$11.5 萬<0.1%+10,201新進歷史
Two Harbors Investment Corp.90187B408COM NEW35,053$11.6 萬<0.1%+4,220+13.7%加碼–
CDECoeur Mining, Inc.COM NEW34,876$11.9 萬<0.1%+12,526+56.0%加碼歷史
NZFNuveen Municipal Credit Income FundCOM SH BEN INT10,471$11.9 萬<0.1%+9+0.1%加碼歷史
HEQJohn Hancock Diversified Income FundCOM10,217$12.0 萬<0.1%00.0%不變歷史
WOOFPetco Health & Wellness Company, Inc.CL A COM10,788$12.0 萬<0.1%+260+2.5%加碼歷史
Advisorshares Tr00768Y453PURE US CANN ETF13,593$12.1 萬<0.1%−495−3.5%減碼–
SWBISmith & Wesson Brands, Inc.COM11,947$12.4 萬<0.1%+30+0.3%加碼歷史
QSQuantumScape CorpCOM CL A14,920$12.5 萬<0.1%+311+2.1%加碼歷史
KIOKKR Income Opportunities FundCOM11,229$12.8 萬<0.1%+238+2.2%加碼歷史
GAPGap IncCOM15,746$12.9 萬<0.1%+2,471+18.6%加碼歷史
GABGabelli Equity Trust IncCOM23,509$12.9 萬<0.1%+179+0.8%加碼歷史
FCELFuelcell Energy IncCOM38,215$13.0 萬<0.1%+240+0.6%加碼歷史
EVGOEVgo Inc.CL A COM16,716$13.2 萬<0.1%+16,716新進歷史
GFNew Germany Fund IncCOM19,326$13.5 萬<0.1%00.0%不變歷史
PLTRPalantir Technologies Inc.Stock16,811$13.7 萬<0.1%+2,250+15.5%加碼歷史
DCGODocGo Inc.COM14,200$14.1 萬<0.1%00.0%不變歷史
SLRCSLR Investment Corp.COM11,565$14.2 萬<0.1%+14+0.1%加碼歷史
Fidelity Covington Trust316092337FIDELITY FUND LR11,217$14.3 萬<0.1%+11,217新進–
ABRArbor Realty Trust IncCOM12,419$14.3 萬<0.1%+459+3.8%加碼歷史
OXLCOxford Lane Capital Corp.COM28,186$14.6 萬<0.1%−5,646−16.7%減碼歷史
RQICohen & Steers Quality Income Realty Fund IncCEF13,176$14.8 萬<0.1%−14,350−52.1%減碼歷史

選擇權(9 檔)

同一份申報裡的賣權(put)與買權(call)。金額是標的股票的市值,也就是 13F 申報的數字。

Sigma Planning Corp 在 2022 年第 3 季的選擇權部位
證券類別賣權買權
SPYSPDR S&P 500 ETF TrustETF$600.1 萬$139.3 萬
Invesco QQQ Trust Series I46090E103ETF$40.1 萬–
BFHBread Financial Holdings, Inc.COM$35.5 萬–
OLEDUniversal Display CorpCOM$34.9 萬–
MSFTMicrosoft CorpStock–$25.6 萬
BIGGQFormer BL Stores IncCOM$17.3 萬–
FCELFuelcell Energy IncCOM–$4.30 萬
AGENAgenus IncCOM NEW–$2.90 萬
VHCVirnetX Holding CorpCOM–$1.50 萬

2022 年第 2 季之後清倉(99 檔)

2022 年第 2 季季末還持有、這份申報已經沒有的部位。

Sigma Planning Corp 在 2022 年第 2 季之後清倉的部位
證券類別2022 年第 2 季股數2022 年第 2 季市值2022 年第 2 季佔組合 %紀錄
Pacer FDS Tr69374H568SWAN SOS FD OF203,906$427.8 萬0.2%–
GSKGSK plcSPONSORED ADR55,700$242.5 萬0.1%歷史
First Tr Exchange-Traded FD33734X119CONSUMR STAPLE23,653$145.2 萬0.1%–
Invesco Exchange Traded FD T46137V548INTL DIVI ACHI78,903$135.1 萬<0.1%–
Schwab US Aggregate Bond ETF808524839ETF22,966$109.9 萬<0.1%–
BECNQxo Building Products, Inc.COM14,473$74.3 萬<0.1%歷史
iShares Tr464288851US OIL GS EX ETF8,105$63.1 萬<0.1%–
First Tr Exchange-Traded FD33734X168MATERIALS ALPH11,148$63.0 萬<0.1%–
LCIDLucid Group, Inc.COM35,357$60.7 萬<0.1%歷史
LNTHLantheus Holdings, Inc.Stock9,100$60.1 萬<0.1%歷史
THOThor Industries IncCOM7,343$54.9 萬<0.1%歷史
WRBBerkley W R CorpCOM7,932$54.1 萬<0.1%歷史
Healthcare Realty Trust Inc42225P501CL A NEW19,226$53.7 萬<0.1%–
HFROHighland Opportunities & Income FundHIGHLAND INCOME46,000$51.8 萬<0.1%歷史
WisdomTree Tr97717X578EM EX ST-OWNED16,839$48.3 萬<0.1%–
State Street SPDR Portfolio S&P 500 High Dividend ETF78468R788ETF11,701$46.7 萬<0.1%–
TDWTidewater IncCOM21,899$46.2 萬<0.1%歷史
First Tr Exchange-Traded FD33738R712DORSEYWRGT ETF17,705$44.9 萬<0.1%–
DOCUDocuSign, Inc.Stock7,238$41.5 萬<0.1%歷史
WABWestinghouse Air Brake Technologies CorpStock4,969$40.8 萬<0.1%歷史
Kraneshares Trust500767405BOSERA MSCI CHIN10,299$40.0 萬<0.1%–
LILi Auto Inc.SPONSORED ADS10,090$38.7 萬<0.1%歷史
TELFYTelefonica S ASPONSORED ADR73,804$37.9 萬<0.1%歷史
Schwab U.S. Small-Cap ETF808524607ETF9,644$37.6 萬<0.1%–
BWABorgwarner IncCOM11,003$36.7 萬<0.1%歷史
UPSTUpstart Holdings, Inc.COM11,296$35.7 萬<0.1%歷史
LTHMLivent Corp.COM15,736$35.7 萬<0.1%歷史
YAlleghany CorpCOM423$35.2 萬<0.1%歷史
Pacer FDS Tr69374H709GLOBL CASH ETF11,378$35.0 萬<0.1%–
CBOECboe Global Markets, Inc.COM3,063$34.7 萬<0.1%歷史
TEAMAtlassian CorpCL A1,793$33.6 萬<0.1%歷史
ROCCBaytex Energy USA, Inc.COM9,875$32.5 萬<0.1%歷史
Kraneshares Trust500767306CSI CHI INTERNET9,698$31.8 萬<0.1%–
RGLDRoyal Gold IncStock2,936$31.4 萬<0.1%歷史
SMGScotts Miracle-Gro CoStock3,823$30.2 萬<0.1%歷史
iShares Tr464287184CHINA LG-CAP ETF8,561$29.0 萬<0.1%–
RNRRenaissancere Holdings LtdCOM1,837$28.7 萬<0.1%歷史
OGNOrganon & Co.Stock8,445$28.5 萬<0.1%歷史
PAASPan American Silver CorpStock14,429$28.4 萬<0.1%歷史
VRSKVerisk Analytics, Inc.COM1,639$28.4 萬<0.1%歷史
First Tr Exchange-Traded Alp33737M300SML CP GRW ALP5,235$28.4 萬<0.1%–
TERTeradyne, IncStock3,156$28.3 萬<0.1%歷史
FIXComfort Systems USA IncCOM3,363$28.0 萬<0.1%歷史
Yamana Gold Inc98462Y100COM59,646$27.7 萬<0.1%–
CLMBClimb Global Solutions, Inc.COM8,250$27.4 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC4,004$27.2 萬<0.1%–
iShares Inc46434G822MSCI JAPAN ETF4,885$25.8 萬<0.1%–
Vanguard Intl Equity Index F922042866FTSE PACIFIC ETF4,054$25.7 萬<0.1%–
IIINInsteel Industries IncCOM7,544$25.4 萬<0.1%歷史
WisdomTree Tr97717X511YIELD ENHANCD US5,648$25.3 萬<0.1%–
ESGREnstar Group LTDSHS1,175$25.1 萬<0.1%歷史
ELMEElme CommunitiesSH BEN INT11,721$25.0 萬<0.1%歷史
Nuveen PFD & Incm Securties67072C105COM34,471$25.0 萬<0.1%–
PDDPDD Holdings Inc.SPONSORED ADS3,969$24.5 萬<0.1%歷史
ETF Ser Solutions26922B709APTUS INT ENH YL12,169$24.4 萬<0.1%–
RYRoyal Bank of CanadaStock2,406$23.3 萬<0.1%歷史
WisdomTree Tr97717Y790US EFFIC CORE FD6,929$23.1 萬<0.1%–
iShares Tr464287333GLOBAL FINLS ETF3,496$23.0 萬<0.1%–
RHPRyman Hospitality Properties, Inc.COM2,995$22.8 萬<0.1%歷史
SNYSanofiSPONSORED ADR4,501$22.5 萬<0.1%歷史
FRPTFreshpet, Inc.Stock4,310$22.4 萬<0.1%歷史
ZZillow Group, Inc.CL C CAP STK7,065$22.4 萬<0.1%歷史
Invesco Exchange Traded FD T46137V720LEISU ENTMT ETF6,148$22.3 萬<0.1%–
UTLUnitil CorpCOM3,778$22.2 萬<0.1%歷史
EXRExtra Space Storage Inc.COM1,288$21.9 萬<0.1%歷史
Innovator ETFs Trust45782C367INTRNL DEV APRL9,518$21.7 萬<0.1%–
Advisorshares Tr00768Y438Q DYNAMIC GROWTH9,850$21.6 萬<0.1%–
ARLPAlliance Resource Partners LPStock11,579$21.1 萬<0.1%歷史
HQHabrdn Healthcare InvestorsSH BEN INT11,177$20.9 萬<0.1%歷史
LYVLive Nation Entertainment, Inc.COM2,530$20.9 萬<0.1%歷史
APAAPA CorpStock5,941$20.7 萬<0.1%歷史
AGOAssured Guaranty LtdCOM3,703$20.7 萬<0.1%歷史
LANDGladstone Land CorpCOM9,346$20.7 萬<0.1%歷史
First Trust Nasdaq-100 Technology Sector Index Fund337345102ETF1,787$20.4 萬<0.1%–
EAElectronic Arts Inc.COM1,677$20.4 萬<0.1%歷史
BKNGBooking Holdings Inc.Stock114$20.1 萬<0.1%歷史
WisdomTree Tr97717X669US QTLY DIV GRT3,504$20.1 萬<0.1%–
Prospect Cap Corp74348TAR3NOTE 4.950% 7/1188,000$18.9 萬<0.1%–
HSTHost Hotels & Resorts, Inc.COM11,030$17.3 萬<0.1%歷史
Amplify ETF Tr032108847CEF HIGH INCOME12,638$16.0 萬<0.1%–
CHPTChargePoint Holdings, Inc.COM CL A11,384$15.6 萬<0.1%歷史
PDOPIMCO Dynamic Income Opportunities FundCOM BEN SHS10,790$14.9 萬<0.1%歷史
CF Acquisition Corp VI12521J103COM CL A14,493$14.4 萬<0.1%–
NAVINavient CorpCOM10,212$14.3 萬<0.1%歷史
ECCEagle Point Credit CoCOM11,850$14.0 萬<0.1%歷史
PNTPOINT Biopharma Global Inc.COM19,480$13.3 萬<0.1%歷史
QUIKQUICKLOGIC CorpCOM NEW14,600$12.4 萬<0.1%歷史
RESRPC IncCOM15,900$11.0 萬<0.1%歷史
AXIAYAXIA Energia S.A.SPONSORED ADR11,340$10.1 萬<0.1%歷史
ORCOrchid Island Capital, Inc.COM26,216$7.50 萬<0.1%歷史
Adamas Trust, Inc.649604501COM PAR $.0220,648$5.70 萬<0.1%–
LNDBrasilAgro - Brazilian Agricultural Real Estate CoSPONSORED ADR11,845$5.60 萬<0.1%歷史
JQCNuveen Credit Strategies Income FundCOM SHS10,411$5.40 萬<0.1%歷史
LYGLloyds Banking Group plcSPONSORED ADR17,347$3.50 萬<0.1%歷史
ASRTAssertio Holdings, Inc.COM NEW11,000$3.20 萬<0.1%歷史
ABUSArbutus Biopharma CorpCOM11,000$3.00 萬<0.1%歷史
HOFVHall of Fame Resort & Entertainment CoCOM23,800$1.40 萬<0.1%歷史
CHGAChange Agents Corporation.COM11,265$5,000<0.1%歷史
Second Sight Med Prods Inc81362J126*W EXP 03/14/20219,056$5,000<0.1%–