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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2023 年第 3 季持倉

持倉截至 2023/9/30,2023/11/6 申報。只含多頭部位,變化是跟 2023 年第 2 季比股數。

機構總覽
持股檔數
1,188
較 2023 年第 2 季 −11
總值
$26.7 億
較 2023 年第 2 季 −$1.17 億 (−4.2%)
申報日
2023/11/6
SEC
Sigma Planning Corp 在 2023 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
SQFTWPresidio Property Trust, Inc.*W EXP 01/24/20215,115$514<0.1%00.0%不變歷史
SLNHSoluna Holdings, IncCOM18,807$3,942<0.1%+18,807新進歷史
GTBPGT Biopharma, Inc.COM NEW20,395$4,917<0.1%00.0%不變歷史
MBRXMoleculin Biotech, Inc.COM17,000$7,268<0.1%00.0%不變歷史
Nine Energy Service, Inc.65441VAC5DEBT 13.000%10/2–$9,271<0.1%–新進–
STEXStreamex Corp.COM NEW20,900$1.02 萬<0.1%−3,100−12.9%減碼歷史
CLOVClover Health Investments, Corp.COM CL A10,274$1.11 萬<0.1%−500−4.6%減碼歷史
CGCCanopy Growth CorpCOM14,388$1.13 萬<0.1%+1,833+14.6%加碼歷史
EIGREiger BioPharmaceuticals, Inc.COM41,500$1.27 萬<0.1%−60,000−59.1%減碼歷史
RCATRed Cat Holdings, Inc.Stock13,683$1.33 萬<0.1%00.0%不變歷史
LUMNLumen Technologies, Inc.Stock12,943$1.84 萬<0.1%−13,385−50.8%減碼歷史
IBRXImmunityBio, Inc.COM11,050$1.87 萬<0.1%00.0%不變歷史
ZOMDFZomedica Corp.COM114,500$1.91 萬<0.1%+39,999+53.7%加碼歷史
ANGIAngi Inc.COM CL A NEW10,200$2.02 萬<0.1%00.0%不變歷史
PLGPlatinum Group Metals LtdCOM18,500$2.09 萬<0.1%00.0%不變歷史
PSHGPerformance Shipping Inc.COMMON SHARES10,700$2.11 萬<0.1%00.0%不變歷史
Portage Biotech IncG7185A128COM11,508$2.41 萬<0.1%00.0%不變–
OPKOpko Health, Inc.COM15,102$2.42 萬<0.1%−200−1.3%減碼歷史
TPICQTpi Composites, IncCOM10,011$2.65 萬<0.1%−49−0.5%減碼歷史
EVGNEvogene Ltd.SHS50,985$2.99 萬<0.1%+6,041+13.4%加碼歷史
TLRYTilray Brands, Inc.COM CL 212,989$3.10 萬<0.1%+683+5.6%加碼歷史
DNNDenison Mines Corp.COM19,500$3.22 萬<0.1%+19,500新進歷史
EVGOEVgo Inc.CL A COM10,700$3.62 萬<0.1%+10,700新進歷史
FCELFuelcell Energy IncCOM28,595$3.66 萬<0.1%−1,000−3.4%減碼歷史
SBSafe Bulkers, Inc.COM11,518$3.73 萬<0.1%+11,518新進歷史
OXSQOxford Square Capital Corp.COM13,932$4.19 萬<0.1%−997−6.7%減碼歷史
NOKNokia CorpSPONSORED ADR11,999$4.49 萬<0.1%+11,999新進歷史
NKLANikola CorpCOM29,644$4.65 萬<0.1%+190+0.6%加碼歷史
HBIHanesbrands Inc.COM11,861$4.70 萬<0.1%−1,881−13.7%減碼歷史
TFFPTFF Pharmaceuticals, Inc.COM145,050$5.08 萬<0.1%00.0%不變歷史
BBBLACKBERRY LtdCOM12,326$5.81 萬<0.1%00.0%不變歷史
AWPabrdn Global Premier Properties FundCOM SH BEN INT16,180$5.89 萬<0.1%−1,695−9.5%減碼歷史
AGFirst Majestic Silver CorpCOM11,701$6.00 萬<0.1%−37,314−76.1%減碼歷史
LTRNLantern Pharma Inc.COM18,125$6.18 萬<0.1%00.0%不變歷史
ETF Managers Tr26924G508ETFMG ALTR HRVST17,245$6.29 萬<0.1%−9,929−36.5%減碼–
IGRCbre Global Real Estate Income FundCOM14,060$6.33 萬<0.1%+278+2.0%加碼歷史
SIRISirius XM Holdings Inc.COM14,126$6.39 萬<0.1%−1,234−8.0%減碼歷史
CDECoeur Mining, Inc.COM NEW31,670$7.03 萬<0.1%+8,260+35.3%加碼歷史
DCGODocGo Inc.COM13,600$7.25 萬<0.1%−600−4.2%減碼歷史
Harbor Custom Development IN41150T2078% CONV PFD SR A16,511$7.36 萬<0.1%+16,511新進–
QSQuantumScape CorpCOM CL A11,344$7.59 萬<0.1%−1,425−11.2%減碼歷史
HLHecla Mining CoCOM19,887$7.78 萬<0.1%+3,586+22.0%加碼歷史
SBSWSibanye Stillwater LtdSPONSORED ADR12,781$7.89 萬<0.1%+12,781新進歷史
MTTRMatterport, Inc.COM CL A38,608$8.38 萬<0.1%+2,835+7.9%加碼歷史
STEMStem, Inc.CL A20,075$8.51 萬<0.1%−1,475−6.8%減碼歷史
CIMChimera Investment CorpCOM NEW16,053$8.77 萬<0.1%+216+1.4%加碼歷史
FSCOFS Credit Opportunities Corp.COMMON STOCK16,768$9.09 萬<0.1%−9,767−36.8%減碼歷史
VMOInvesco Municipal Opportunity TrustCOM11,681$9.61 萬<0.1%−716−5.8%減碼歷史
BYNDBeyond Meat, Inc.COM10,220$9.83 萬<0.1%+10,220新進歷史
RWTRedwood Trust IncCOM13,838$9.87 萬<0.1%+3,254+30.7%加碼歷史
BBDCBarings BDC, Inc.COM11,523$10.3 萬<0.1%+898+8.5%加碼歷史
Advisorshares Tr00768Y453PURE US CANN ETF13,277$10.5 萬<0.1%−1,179−8.2%減碼–
BGSB&G Foods, Inc.COM11,202$11.1 萬<0.1%−600−5.1%減碼歷史
SCWO374Water Inc.Common Stock90,243$11.2 萬<0.1%+16,050+21.6%加碼歷史
EDITEditas Medicine, Inc.COM14,558$11.4 萬<0.1%−409−2.7%減碼歷史
NWLNewell Brands Inc.Stock13,009$11.7 萬<0.1%+771+6.3%加碼歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM47,953$11.7 萬<0.1%+3,991+9.1%加碼歷史
VanEck ETF Trust92189F452MORTGAGE REIT10,550$12.0 萬<0.1%+10,550新進–
SERSerina Therapeutics, Inc.COM181,385$12.3 萬<0.1%+41,685+29.8%加碼歷史
RUMRUM Group Inc.Stock24,341$12.4 萬<0.1%+5,150+26.8%加碼歷史
AWFAlliancebernstein Global High Income Fund IncCOM12,881$12.5 萬<0.1%+12,881新進歷史
PCNPIMCO Corporate & Income Strategy FundCOM10,273$12.5 萬<0.1%+10,273新進歷史
HTZHertz Global Holdings, IncCOM NEW10,207$12.5 萬<0.1%+10,207新進歷史
PCTPureCycle Technologies, Inc.COM22,507$12.6 萬<0.1%+3,225+16.7%加碼歷史
Amplify ETF Tr032108847CEF HIGH INCOME11,531$12.8 萬<0.1%+11,531新進–
HLNHaleon plcADR15,590$13.0 萬<0.1%+1,167+8.1%加碼歷史
EZPWEzcorp IncCL A NON VTG16,396$13.5 萬<0.1%−317−1.9%減碼歷史
SJTSan Juan Basin Royalty TrustUNIT BEN INT20,333$14.1 萬<0.1%+422+2.1%加碼歷史
IRTIndependence Realty Trust, Inc.COM10,168$14.3 萬<0.1%−194−1.9%減碼歷史
First Tr Exchange-Traded FD33735T109COMMON SHS13,361$14.6 萬<0.1%−11,779−46.9%減碼–
CRKComstock Resources IncCOM13,202$14.6 萬<0.1%+25+0.2%加碼歷史
ETYEaton Vance Tax-Managed Diversified Equity Income FundCOM12,638$14.6 萬<0.1%+12,638新進歷史
BLEBlackRock Municipal Income Trust IICOM16,359$15.0 萬<0.1%00.0%不變歷史
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM15,110$15.0 萬<0.1%−1,912−11.2%減碼歷史
ONBOld National BancorpStock10,523$15.3 萬<0.1%−35−0.3%減碼歷史
FSRFisker Inc.CL A COM STK24,289$15.6 萬<0.1%−2,455−9.2%減碼歷史
XRXXerox Holdings CorpCOM NEW10,014$15.7 萬<0.1%−44,590−81.7%減碼歷史
GFNew Germany Fund IncCOM19,446$15.9 萬<0.1%00.0%不變歷史
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM10,671$16.6 萬<0.1%+252+2.4%加碼歷史
PLUGPlug Power IncStock21,876$16.6 萬<0.1%+2,525+13.0%加碼歷史
ATOMAtomera IncCOM26,750$16.7 萬<0.1%00.0%不變歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$17.4 萬<0.1%–––
Golden Ocean Group LtdG39637205SHS NEW22,172$17.5 萬<0.1%−595−2.6%減碼–
SCUSculptor Capital Management, Inc.COM CL A15,988$18.5 萬<0.1%+15,988新進歷史
MFCManulife Financial CorpCOM10,178$18.6 萬<0.1%+10,178新進歷史
LACLithium Americas Corp.COM NEW10,995$18.7 萬<0.1%+10,995新進歷史
MDNAFMedicenna Therapeutics Corp.COM634,550$18.7 萬<0.1%+329,250+107.8%加碼歷史
INTSIntensity Therapeutics, Inc.COM48,144$19.1 萬<0.1%+48,144新進歷史
TSITCW Strategic Income Fund IncCOM41,951$19.2 萬<0.1%+293+0.7%加碼歷史
MPTMedical Properties Trust IncCOM35,442$19.3 萬<0.1%−59,787−62.8%減碼歷史
CMLSQCumulus Media IncCOM CL A38,105$19.4 萬<0.1%+2,900+8.2%加碼歷史
ETF Managers Tr26924G102PRIME JUNIR SLVR22,878$19.4 萬<0.1%−1,125−4.7%減碼–
GLUGabelli Global Utility & Income TrustCOM SH BEN INT14,402$19.5 萬<0.1%+685+5.0%加碼歷史
Global X FDS37950E291GLOBX SUPDV US12,141$19.7 萬<0.1%+740+6.5%加碼–
PFLTPennantPark Floating Rate Capital Ltd.COM18,616$19.8 萬<0.1%+1,429+8.3%加碼歷史
Vanguard Admiral FDS Inc921932885MIDCP 400 IDX2,373$20.1 萬<0.1%+2,373新進–
BUIBlackRock Utilities, Infrastructure & Power Opportunities TrustCOM10,120$20.1 萬<0.1%00.0%不變歷史
TDOCTeladoc Health, Inc.COM10,823$20.1 萬<0.1%−623−5.4%減碼歷史
First Tr Exchange-Traded FD33734X168MATERIALS ALPH3,192$20.1 萬<0.1%−27−0.8%減碼–
CVICVR Energy IncCOM5,915$20.1 萬<0.1%+5,915新進歷史

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 2023 年第 3 季的選擇權部位
證券類別賣權買權
NWLNewell Brands Inc.Stock$3.38 萬–
ProShares Tr74347R206PSHS ULTRA QQQ–$2.59 萬
PBIPitney Bowes IncCOM$2.27 萬–
TUPTupperware Brands CorpCOM$1.11 萬–
GNWGenworth Financial IncCOM SHS$7,988–
EZPWEzcorp IncCL A NON VTG$3,730–
STEXStreamex Corp.COM NEW–$795
NOKNokia CorpSPONSORED ADR$660–
UBSUBS Group AGStock–$250

2023 年第 2 季之後清倉(124 檔)

2023 年第 2 季季末還持有、這份申報已經沒有的部位。

依上一季市值列出前 100 檔,共 124 檔。

Sigma Planning Corp 在 2023 年第 2 季之後清倉的部位
證券類別2023 年第 2 季股數2023 年第 2 季市值2023 年第 2 季佔組合 %紀錄
First Tr Exchange-Traded FD33733E856FT VEST GOLD151,227$289.3 萬0.1%–
ONONOn Holding AGStock47,459$156.6 萬0.1%歷史
T Rowe Price Exchange-Traded87283Q404PRICE DIV GRWT45,526$151.7 萬0.1%–
CELHCelsius Holdings, Inc.COM NEW9,467$141.2 萬0.1%歷史
Invesco Actively Managed Exc46090A887ULTRA SHRT DUR23,515$116.7 萬<0.1%–
Timothy Plan887432359US LRGMD CP CORE30,521$109.8 萬<0.1%–
Flexshares Tr33939L886ULTR SHO INC FD11,937$89.5 萬<0.1%–
Flexshares Tr33939L761CR SCD US BD16,915$79.3 萬<0.1%–
Timothy Plan887432342U S SM CP CORE24,518$78.2 萬<0.1%–
RBCRBC Bearings INCCOM3,351$72.9 萬<0.1%歷史
Dimensional ETF Trust25434V724US MKTWIDE VALUE20,838$71.9 萬<0.1%–
Vanguard World FD921910709EXTENDED DUR6,913$60.2 萬<0.1%–
Northern LTS FD Tr IV66538H534INSPIRE 100 ETF16,463$54.1 萬<0.1%–
First Tr Exchng Traded FD VI33740U109TCW SECURITIZED24,508$52.3 萬<0.1%–
Flexshares Tr33939L662HIG YLD VL ETF12,130$49.1 萬<0.1%–
SPDR Series Trust78468R770ST STR R1K YLD4,973$47.4 萬<0.1%–
Dimensional ETF Trust25434V807INTERNATNAL VAL14,128$46.4 萬<0.1%–
LUVSouthwest Airlines CoCOM12,787$46.3 萬<0.1%歷史
J P Morgan Exchange Traded F46641Q845DIVERSFD EQT ETF11,230$46.0 萬<0.1%–
Franklin Templeton ETF Tr35473P108INTL COR DIV TIL15,500$45.3 萬<0.1%–
iShares Inc464286681MSCI EQUAL WEITE5,525$43.5 萬<0.1%–
BLDRBuilders FirstSource, Inc.Stock3,187$43.3 萬<0.1%歷史
WisdomTree Tr97717X131INTL QULTY DIV12,263$42.2 萬<0.1%–
First Tr Exchange-Traded FD33738R712DORSEYWRGT ETF16,190$41.9 萬<0.1%–
APOApollo Global Management, Inc.COM5,408$41.5 萬<0.1%歷史
CMAComerica IncCOM9,668$41.0 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138E222S&P INTL MOMNT12,227$40.4 萬<0.1%–
iShares Tr46434V647GLOBAL REIT ETF17,559$40.3 萬<0.1%–
Dimensional U.S. Targeted Value ETF25434V609ETF8,585$39.8 萬<0.1%–
Flexshares Tr33939L837INTL QLTDV IDX17,780$39.4 萬<0.1%–
First Tr Exchng Traded FD VI33740U406FT VEST U.S.11,540$39.0 萬<0.1%–
Invesco Exchange Traded FD T46137V449S&P 100 EQL WIGH4,778$38.9 萬<0.1%–
RETAReata Pharmaceuticals IncCL A3,775$38.5 萬<0.1%歷史
FOURShift4 Payments, Inc.CL A5,625$38.2 萬<0.1%歷史
HIMSHims & Hers Health, Inc.Stock40,550$38.1 萬<0.1%歷史
KRNTKornit Digital Ltd.SHS12,687$37.3 萬<0.1%歷史
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP5,851$36.5 萬<0.1%歷史
Invesco Exchange Traded FD T46137V498S&P SMLCP MOMENT7,145$34.6 萬<0.1%–
COINCoinbase Global, Inc.COM CL A4,813$34.4 萬<0.1%歷史
FNVFranco Nevada CorpStock2,361$33.7 萬<0.1%歷史
TWLOTwilio IncCL A5,273$33.6 萬<0.1%歷史
CWHCamping World Holdings, Inc.CL A11,122$33.5 萬<0.1%歷史
Hartford FDS Exchange Traded41653L503MUN OPORTUNITE8,789$33.4 萬<0.1%–
DINDine Brands Global, Inc.COM5,385$31.2 萬<0.1%歷史
KSSKOHLS CorpStock13,312$30.7 萬<0.1%歷史
RTLNecessity Retail REIT, Inc.COM CLASS A43,459$29.4 萬<0.1%歷史
MIDDMIDDLEBY CorpCOM1,957$28.9 萬<0.1%歷史
AEMAgnico Eagle Mines LtdStock5,783$28.9 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138E842DORSEY WRGT SMLC3,657$28.8 萬<0.1%–
Invesco Exchange Traded FD T46137V563HIG YLD EQ DIV14,804$28.5 萬<0.1%–
MMDNYLI MacKay DefinedTerm Muni Opportunities FundCOM16,400$28.0 萬<0.1%歷史
EMNEastman Chemical CoStock3,338$28.0 萬<0.1%歷史
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF4,059$27.9 萬<0.1%–
Pacer Trendpilot US Mid Cap ETF69374H204ETF8,300$27.3 萬<0.1%–
JRONuveen Floating Rate Income Opportunity FundCOM SHS34,931$27.2 萬<0.1%歷史
iShares Tr464287838U.S. BAS MTL ETF2,037$27.1 萬<0.1%–
ENPHEnphase Energy, Inc.Stock1,617$27.1 萬<0.1%歷史
Dimensional ETF Trust25434V401US EQUI MARK ETF5,534$26.7 萬<0.1%–
DOCNDigitalOcean Holdings, Inc.COM6,539$26.2 萬<0.1%歷史
TRTNTriton International LtdCL A3,050$25.4 萬<0.1%歷史
OVVOvintiv Inc.COM6,540$24.9 萬<0.1%歷史
UALUnited Airlines Holdings, Inc.COM4,519$24.8 萬<0.1%歷史
PAASPan American Silver CorpStock16,650$24.3 萬<0.1%歷史
Mag Silver Corp55903Q104COM21,581$24.0 萬<0.1%–
METMetlife IncStock4,225$23.9 萬<0.1%歷史
BUDAnheuser-Busch InBev SA/NVADR4,185$23.7 萬<0.1%歷史
SSRMSSR Mining Inc.Stock16,686$23.7 萬<0.1%歷史
ALLYAlly Financial Inc.Stock8,722$23.6 萬<0.1%歷史
iShares Ibonds Dec 2026 Term Corporate ETF46435GAA0ETF9,903$23.2 萬<0.1%–
AALAmerican Airlines Group Inc.Stock12,923$23.2 萬<0.1%歷史
Vanguard Intl Equity Index F922042874FTSE EUROPE ETF3,741$23.1 萬<0.1%–
DYDycom Industries IncCOM2,030$23.1 萬<0.1%歷史
KDPKeurig Dr Pepper Inc.COM7,364$23.0 萬<0.1%歷史
REYNReynolds Consumer Products Inc.COM8,123$22.9 萬<0.1%歷史
State Street SPDR S&P Regional Banking ETF78464A698ETF5,615$22.9 萬<0.1%–
KGCKinross Gold CorpCOM47,980$22.9 萬<0.1%歷史
NTRSNorthern Trust CorpCOM3,068$22.7 萬<0.1%歷史
DBLDoubleLine Opportunistic Credit FundCOM15,643$22.7 萬<0.1%歷史
ARK Next Generation Technology ETF00214Q401ETF3,834$22.5 萬<0.1%–
iShares U.S. Healthcare Providers ETF464288828ETF877$22.5 萬<0.1%–
Invesco Exchange Traded FD T46137V621FINL PFD ETF15,454$22.2 萬<0.1%–
iShares Inc46434G855MSCI GBL GOLD MN9,456$22.0 萬<0.1%–
Alps ETF Tr00162Q858SECTR DIV DOGS4,344$21.7 萬<0.1%–
Ea Series Trust02072L698STRIVE EMERGING8,130$21.4 萬<0.1%–
BMOBank of MontrealCOM2,359$21.3 萬<0.1%歷史
DRIDarden Restaurants IncCOM1,262$21.1 萬<0.1%歷史
FSLRFirst Solar, Inc.Stock1,109$21.1 萬<0.1%歷史
BABAAlibaba Group Holding LtdADR2,510$20.9 萬<0.1%歷史
CMCCommercial Metals CoStock3,965$20.9 萬<0.1%歷史
MPMP Materials Corp.COM CL A9,122$20.9 萬<0.1%歷史
PEverpure, Inc.CL A5,664$20.9 萬<0.1%歷史
HCAHCA Healthcare, Inc.COM687$20.9 萬<0.1%歷史
PFGPrincipal Financial Group IncCOM2,744$20.8 萬<0.1%歷史
BAXBaxter International IncStock4,569$20.8 萬<0.1%歷史
PNWPinnacle West Capital CorpCOM2,548$20.8 萬<0.1%歷史
ICEIntercontinental Exchange, Inc.Stock1,821$20.6 萬<0.1%歷史
SASeabridge Gold IncCOM16,860$20.3 萬<0.1%歷史
STMSTMicroelectronics N.V.NY REGISTRY4,063$20.3 萬<0.1%歷史
Flexshares Tr33939L100MORNSTAR USMKT1,200$20.2 萬<0.1%–
New Gold Inc Cda644535106COM186,710$20.2 萬<0.1%–