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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
NIDNuveen Intermediate Duration Municipal Term FundCOM12,000$14.8 萬<0.1%00.0%不變歷史
EVVEaton Vance Ltd Duration Income FundCOM16,199$14.9 萬<0.1%−2,177−11.8%減碼歷史
SONOSonos IncCOM10,798$15.0 萬<0.1%00.0%不變歷史
NVGNuveen AMT-Free Municipal Credit Income FundCEF13,156$15.4 萬<0.1%+59+0.5%加碼歷史
FBRTFranklin BSP Realty Trust, Inc.COMMON STOCK14,506$15.6 萬<0.1%+14,506新進歷史
BBWBuild-A-Bear Workshop IncCOM11,773$15.7 萬<0.1%−1,013−7.9%減碼歷史
CPZCalamos Long/Short Equity & Dynamic Income TrustCOM10,600$15.8 萬<0.1%+10,600新進歷史
SPXXNuveen S&P 500 Dynamic Overwrite FundCOM10,538$15.8 萬<0.1%−4,962−32.0%減碼歷史
CMLSQCumulus Media IncCOM CL A22,822$16.0 萬<0.1%−200−0.9%減碼歷史
iShares Tr464288844US OIL EQ&SV ETF11,308$16.3 萬<0.1%−2,763−19.6%減碼–
ONBOld National BancorpStock10,081$16.6 萬<0.1%+50.0%加碼歷史
MTTRMatterport, Inc.COM CL A45,460$17.2 萬<0.1%+1,675+3.8%加碼歷史
BBNBlackRock Taxable Municipal Bond TrustSHS10,523$17.3 萬<0.1%+513+5.1%加碼歷史
HPSJohn Hancock Preferred Income Fund IIICOM11,518$17.3 萬<0.1%+26+0.2%加碼歷史
Golden Ocean Group LtdG39637205SHS NEW23,400$17.5 萬<0.1%+1,378+6.3%加碼–
BTZBlackRock Credit Allocation Income TrustCOM18,708$17.8 萬<0.1%+414+2.3%加碼歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0175,000$17.8 萬<0.1%00.0%不變–
DJTWWTrump Media & Technology Group Corp.*W EXP 03/25/20249,705$17.9 萬<0.1%+490+1.0%加碼歷史
EFREaton Vance Senior Floating-Rate TrustCOM16,179$18.0 萬<0.1%−194−1.2%減碼歷史
EFCEllington Financial Inc.COM16,198$18.4 萬<0.1%+4,031+33.1%加碼歷史
IRTIndependence Realty Trust, Inc.COM11,130$18.6 萬<0.1%−8,226−42.5%減碼歷史
JRONuveen Floating Rate Income Opportunity FundCOM SHS23,246$18.7 萬<0.1%+1,000+4.5%加碼歷史
GLUGabelli Global Utility & Income TrustCOM SH BEN INT13,447$18.8 萬<0.1%−395−2.9%減碼歷史
AGNCAGNC Investment Corp.REIT22,602$19.0 萬<0.1%+5,359+31.1%加碼歷史
BCXBlackRock Resources & Commodities Strategy TrustSHS21,965$19.1 萬<0.1%−3,876−15.0%減碼歷史
BDJBlackRock Enhanced Equity Dividend TrustCOM23,732$19.2 萬<0.1%−3,358−12.4%減碼歷史
Health Assurn Acquisition Co42226W208UNIT 99/99/999919,220$19.2 萬<0.1%−355−1.8%減碼–
SCWO374Water Inc.Common Stock67,833$19.2 萬<0.1%+67,833新進歷史
VanEck ETF Trust92189F429PREFERRED SECURT11,290$19.4 萬<0.1%−1,677−12.9%減碼–
RUMRUM Group Inc.Stock15,961$19.6 萬<0.1%+15,961新進歷史
GSLGlobal Ship Lease, Inc.COM CL A12,534$19.8 萬<0.1%+12,534新進歷史
HLNHaleon plcADR32,711$19.9 萬<0.1%+32,711新進歷史
PBIPitney Bowes IncCOM85,350$19.9 萬<0.1%+1,663+2.0%加碼歷史
INABIN8BIO, Inc.COM98,750$19.9 萬<0.1%+1,000+1.0%加碼歷史
CPCanadian Pacific Kansas City LtdCOM3,006$20.1 萬<0.1%+81+2.8%加碼歷史
CNXCConcentrix CorpStock1,809$20.2 萬<0.1%00.0%不變歷史
PEverpure, Inc.CL A7,398$20.2 萬<0.1%−4,700−38.8%減碼歷史
First Tr Exchng Traded FD VI33740F862FT VEST US EQT6,170$20.3 萬<0.1%+365+6.3%加碼–
Vanguard Scottsdale FDS92206C706INTER TERM TREAS3,480$20.3 萬<0.1%+3,480新進–
EDITEditas Medicine, Inc.COM16,615$20.3 萬<0.1%−444−2.6%減碼歷史
GNLGlobal Net Lease, Inc.COM NEW19,170$20.4 萬<0.1%−4,019−17.3%減碼歷史
HOGHarley-Davidson, Inc.COM5,840$20.4 萬<0.1%+5,840新進歷史
CQPCheniere Energy Partners, L.P.COM UNIT3,830$20.4 萬<0.1%+3,830新進歷史
ATOMAtomera IncCOM20,100$20.4 萬<0.1%+1,550+8.4%加碼歷史
Vanguard Mortgage-Backed Securities ETF92206C771ETF4,550$20.5 萬<0.1%−903−16.6%減碼–
DOXAmdocs LtdSHS2,586$20.5 萬<0.1%+2,586新進歷史
First Tr Exchng Traded FD VI33740U307FT VEST US EQT6,487$20.5 萬<0.1%−350−5.1%減碼–
GIBCgi IncCL A2,729$20.5 萬<0.1%−43−1.6%減碼歷史
Northern LTS FD Tr IV66538H393INSPIRE TACTICAL8,875$20.5 萬<0.1%−150−1.7%減碼–
NEMNEWMONT CorpStock4,894$20.6 萬<0.1%−6,832−58.3%減碼歷史
Global X FDS37954Y848GLOBAL X SILVER8,572$20.7 萬<0.1%+5+0.1%加碼–
ARCBArcbest CorpCOM2,853$20.8 萬<0.1%+2,853新進歷史
IVZInvesco Ltd.Stock15,241$20.9 萬<0.1%−143−0.9%減碼歷史
iShares MSCI Acwi Ex U.S. ETF464288240ETF5,212$20.9 萬<0.1%00.0%不變–
VanEck ETF Trust92189H805RARE EARTH AND S2,508$20.9 萬<0.1%+71+2.9%加碼–
Invesco Exch Traded FD Tr II46138G102S&P SMLCP LOW5,143$20.9 萬<0.1%−23−0.4%減碼–
ProShares Tr74348A541HGH YLD INT RATE3,617$20.9 萬<0.1%−136−3.6%減碼–
Innovator U.S. Equity Buffer ETF - October45782C771ETF7,021$21.0 萬<0.1%+7,021新進–
BNSBank of Nova ScotiaCOM4,416$21.0 萬<0.1%+312+7.6%加碼歷史
HIIHuntington Ingalls Industries, Inc.COM948$21.0 萬<0.1%+5+0.5%加碼歷史
Fidelity Covington Trust316092709MSCI INDL INDX4,806$21.0 萬<0.1%−33,091−87.3%減碼–
Amplify Blockchain Technology ETF032108607ETF11,400$21.1 萬<0.1%−926−7.5%減碼–
DSLDoubleLine Income Solutions FundCOM19,551$21.1 萬<0.1%−462−2.3%減碼歷史
Kraneshares Trust500767652MOUNT LUCAS ETF5,537$21.2 萬<0.1%+5,537新進–
ASOAcademy Sports & Outdoors, Inc.COM5,038$21.3 萬<0.1%+5,038新進歷史
PFGPrincipal Financial Group IncCOM2,982$21.5 萬<0.1%+2,982新進歷史
JDJD.com, Inc.SPON ADS CL A4,282$21.5 萬<0.1%−5−0.1%減碼歷史
Lattice Strategies Tr518416409HARTFORD US EQTY6,104$21.6 萬<0.1%+6,104新進–
BGBunge Global SACOM2,620$21.6 萬<0.1%+110+4.4%加碼歷史
iShares Select U.S. REIT ETF464287564ETF4,051$21.7 萬<0.1%+26+0.6%加碼–
EMNEastman Chemical CoStock3,048$21.7 萬<0.1%−6,578−68.3%減碼歷史
ALLEAllegion plcORD SHS2,418$21.7 萬<0.1%00.0%不變歷史
SNOWSnowflake Inc.Stock1,281$21.8 萬<0.1%−865−40.3%減碼歷史
Innovator ETFs Trust45782C680US EQTY PWR BF8,066$21.8 萬<0.1%+8,066新進–
BJBJ's Wholesale Club Holdings, Inc.COM2,998$21.8 萬<0.1%+2,998新進歷史
IRIngersoll Rand Inc.COM5,037$21.8 萬<0.1%00.0%不變歷史
MDNAFMedicenna Therapeutics Corp.COM263,050$21.8 萬<0.1%+11,000+4.4%加碼歷史
TAPMolson Coors Beverage CoCL B4,578$22.0 萬<0.1%+66+1.5%加碼歷史
CRKComstock Resources IncCOM12,800$22.1 萬<0.1%+12,800新進歷史
DOVDOVER CorpCOM1,895$22.1 萬<0.1%+90+5.0%加碼歷史
ETF Ser Solutions26922A446OPUS SML CP VL7,817$22.2 萬<0.1%−4,270−35.3%減碼–
USOUnited States Oil Fund, LPUNITS3,394$22.2 萬<0.1%+24+0.7%加碼歷史
iShares Tr46436E569ESG SELECT SCRE8,272$22.2 萬<0.1%00.0%不變–
NBBNuveen Taxable Municipal Income FundCOM14,300$22.4 萬<0.1%+2,000+16.3%加碼歷史
DBLDoubleLine Opportunistic Credit FundCOM15,537$22.5 萬<0.1%−910−5.5%減碼歷史
GSGiShares S&P GSCI Commodity-Indexed TrustUNIT BEN INT10,911$22.5 萬<0.1%−131,039−92.3%減碼歷史
TSITCW Strategic Income Fund IncCOM47,758$22.5 萬<0.1%00.0%不變歷史
RIVNRivian Automotive, Inc.Stock6,877$22.6 萬<0.1%−4,606−40.1%減碼歷史
ETJEaton Vance Risk-Managed Diversified Equity Income FundCOM27,291$22.6 萬<0.1%+386+1.4%加碼歷史
JPMorgan Chase & Co46625H365ALERIAN ML ETN11,283$22.6 萬<0.1%00.0%不變–
CCChemours CoStock9,217$22.7 萬<0.1%−8,030−46.6%減碼歷史
UUPInvesco DB US Dollar Index Bullish FundBULLISH FD7,540$22.7 萬<0.1%−229,845−96.8%減碼歷史
PDPagerDuty, Inc.COM9,852$22.7 萬<0.1%−5,380−35.3%減碼歷史
VTRSViatris IncStock26,713$22.8 萬<0.1%+176+0.7%加碼歷史
Dimensional U.S. Core Equity 2 ETF25434V708ETF10,231$22.8 萬<0.1%+1,336+15.0%加碼–
MPMP Materials Corp.COM CL A8,337$22.8 萬<0.1%+464+5.9%加碼歷史
iShares Tr464287770U.S. FIN SVC ETF1,612$22.8 萬<0.1%−433−21.2%減碼–
CUZCousins Properties IncCOM NEW9,811$22.9 萬<0.1%00.0%不變歷史
XYLXylem Inc.COM2,630$23.0 萬<0.1%+2,630新進歷史
PIMCO ETF Tr72201R817INV GRD CRP BD2,518$23.0 萬<0.1%−97−3.7%減碼–

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%–