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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2023 年第 4 季持倉

持倉截至 2023/12/31,2024/2/1 申報。只含多頭部位,變化是跟 2023 年第 3 季比股數。

機構總覽
持股檔數
840
較 2023 年第 3 季 −348
總值
$12.8 億
較 2023 年第 3 季 −$13.9 億 (−52.1%)
申報日
2024/2/1
SEC
Sigma Planning Corp 在 2023 年第 4 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 01/24/20210,218$613<0.1%−4,897−32.4%減碼歷史
STEXStreamex Corp.COM NEW15,000$7,125<0.1%−5,900−28.2%減碼歷史
MBRXMoleculin Biotech, Inc.COM12,000$1.03 萬<0.1%−5,000−29.4%減碼歷史
PLGPlatinum Group Metals LtdCOM15,500$1.77 萬<0.1%−3,000−16.2%減碼歷史
DNNDenison Mines Corp.COM10,000$1.77 萬<0.1%−9,500−48.7%減碼歷史
EVGNEvogene Ltd.SHS23,087$1.94 萬<0.1%−27,898−54.7%減碼歷史
NKLANikola CorpCOM26,659$2.33 萬<0.1%−2,985−10.1%減碼歷史
CHPTChargePoint Holdings, Inc.COM CL A13,973$3.27 萬<0.1%+13,973新進歷史
ACXPAcurx Pharmaceuticals, Inc.COM10,000$3.83 萬<0.1%+10,000新進歷史
OXSQOxford Square Capital Corp.COM13,525$3.87 萬<0.1%−407−2.9%減碼歷史
TPICQTpi Composites, IncCOM10,011$4.14 萬<0.1%00.0%不變歷史
RNTXRein Therapeutics, Inc.COM NEW16,580$5.05 萬<0.1%+16,580新進歷史
LTRNLantern Pharma Inc.COM11,875$5.08 萬<0.1%−6,250−34.5%減碼歷史
HLHecla Mining CoCOM10,618$5.11 萬<0.1%−9,269−46.6%減碼歷史
AWPabrdn Global Premier Properties FundCOM SH BEN INT13,482$5.23 萬<0.1%−2,698−16.7%減碼歷史
CGTXCognition Therapeutics IncCOM28,550$5.28 萬<0.1%+28,550新進歷史
STEMStem, Inc.CL A13,775$5.34 萬<0.1%−6,300−31.4%減碼歷史
TSITCW Strategic Income Fund IncCOM11,861$5.44 萬<0.1%−30,090−71.7%減碼歷史
CDECoeur Mining, Inc.COM NEW16,950$5.53 萬<0.1%−14,720−46.5%減碼歷史
MTTRMatterport, Inc.COM CL A23,325$6.27 萬<0.1%−15,283−39.6%減碼歷史
SBSWSibanye Stillwater LtdSPONSORED ADR12,106$6.57 萬<0.1%−675−5.3%減碼歷史
CIMChimera Investment CorpCOM NEW13,356$6.66 萬<0.1%−2,697−16.8%減碼歷史
PDMPiedmont Realty Trust, Inc.COM CL A10,000$7.11 萬<0.1%+10,000新進歷史
AGFirst Majestic Silver CorpCOM11,701$7.20 萬<0.1%00.0%不變歷史
PLUGPlug Power IncStock17,041$7.67 萬<0.1%−4,835−22.1%減碼歷史
MPTMedical Properties Trust IncCOM15,940$7.83 萬<0.1%−19,502−55.0%減碼歷史
ATOMAtomera IncCOM11,600$8.13 萬<0.1%−15,150−56.6%減碼歷史
RUMRUM Group Inc.Stock19,373$8.70 萬<0.1%−4,968−20.4%減碼歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM32,690$8.86 萬<0.1%−15,263−31.8%減碼歷史
BYNDBeyond Meat, Inc.COM10,085$8.98 萬<0.1%−135−1.3%減碼歷史
CMLSQCumulus Media IncCOM CL A17,354$9.23 萬<0.1%−20,751−54.5%減碼歷史
ZIMZIM Integrated Shipping Services Ltd.SHS10,152$10.0 萬<0.1%−9,644−48.7%減碼歷史
First Tr MLP & Energy Incom33739B104COM12,466$10.7 萬<0.1%+12,466新進–
SCWO374Water Inc.Common Stock76,343$10.8 萬<0.1%−13,900−15.4%減碼歷史
SERSerina Therapeutics, Inc.COM286,425$11.0 萬<0.1%+105,040+57.9%加碼歷史
CRKComstock Resources IncCOM12,760$11.3 萬<0.1%−442−3.3%減碼歷史
NEANuveen AMT-Free Quality Municipal Income FundCOM11,052$12.2 萬<0.1%−13,227−54.5%減碼歷史
OXLCOxford Lane Capital Corp.COM25,480$12.6 萬<0.1%−48,746−65.7%減碼歷史
NIONIO Inc.ADR14,316$13.0 萬<0.1%−36,328−71.7%減碼歷史
First Tr Exchange-Traded FD33735T109COMMON SHS11,327$13.7 萬<0.1%−2,034−15.2%減碼–
GNLGlobal Net Lease, Inc.COM NEW13,892$13.8 萬<0.1%−29,911−68.3%減碼歷史
SOFISoFi Technologies, Inc.Stock13,993$13.9 萬<0.1%−13,768−49.6%減碼歷史
ETF Managers Tr26924G102PRIME JUNIR SLVR14,154$14.2 萬<0.1%−8,724−38.1%減碼–
First Tr Energy Income & Gro33738G104COM10,018$14.5 萬<0.1%−17,628−63.8%減碼–
CIKUBS Asset Management Income Fund, Inc.COM47,477$14.9 萬<0.1%−47,284−49.9%減碼歷史
Western Digital Corp958102AP0NOTE 1.500% 2/0–$15.1 萬<0.1%–––
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR10,617$17.0 萬<0.1%−15,505−59.4%減碼歷史
DNPDNP Select Income Fund IncCOM20,017$17.0 萬<0.1%−19,446−49.3%減碼歷史
GFNew Germany Fund IncCOM19,447$17.0 萬<0.1%+10.0%加碼歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$17.4 萬<0.1%–––
GGNGAMCO Global Gold, Natural Resources & Income TrustCOM SH BEN INT47,096$17.7 萬<0.1%−33,399−41.5%減碼歷史
INABIN8BIO, Inc.COM132,230$18.2 萬<0.1%−152,820−53.6%減碼歷史
PRPermian Resources CorpCLASS A COM13,560$18.4 萬<0.1%+13,560新進歷史
AMCRAmcor plcORD19,737$19.0 萬<0.1%−36,596−65.0%減碼歷史
PTYPIMCO Corporate & Income Opportunity FundCOM14,429$19.1 萬<0.1%−23,957−62.4%減碼歷史
APTOAptose Biosciences Inc.COM75,477$19.2 萬<0.1%−70,309−48.2%減碼歷史
SPDR Series Trust78468R861STATE STRET SPDR10,429$19.4 萬<0.1%−3,262−23.8%減碼–
QUREuniQure N.V.SHS28,745$19.5 萬<0.1%−30,510−51.5%減碼歷史
SPHSuburban Propane Partners LPUNIT LTD PARTN11,017$19.6 萬<0.1%−7,592−40.8%減碼歷史
PFLTPennantPark Floating Rate Capital Ltd.COM16,204$19.6 萬<0.1%−2,412−13.0%減碼歷史
AWFAlliancebernstein Global High Income Fund IncCOM19,419$19.7 萬<0.1%+6,538+50.8%加碼歷史
MSCIMSCI Inc.Stock358$20.2 萬<0.1%−257−41.8%減碼歷史
PBIPitney Bowes IncCOM46,106$20.3 萬<0.1%−48,303−51.2%減碼歷史
WTRGEssential Utilities, Inc.COM5,442$20.3 萬<0.1%−3,335−38.0%減碼歷史
WECWec Energy Group, Inc.Stock2,426$20.4 萬<0.1%−3,231−57.1%減碼歷史
DINOHF Sinclair CorpCOM3,685$20.5 萬<0.1%−3,701−50.1%減碼歷史
RIORio Tinto PLCADR2,752$20.5 萬<0.1%−3,636−56.9%減碼歷史
MTBM&T Bank CorpCOM1,512$20.7 萬<0.1%−862−36.3%減碼歷史
First Tr Exchange-Traded Alp33735K108COM SHS1,896$20.8 萬<0.1%−5,294−73.6%減碼–
UTLUnitil CorpCOM3,956$20.8 萬<0.1%+3,956新進歷史
GWWW.W. Grainger, Inc.Stock251$20.8 萬<0.1%−382−60.3%減碼歷史
ZTRVirtus Total Return Fund Inc.COM37,805$20.8 萬<0.1%−65,504−63.4%減碼歷史
PNRPENTAIR plcSHS2,886$21.0 萬<0.1%−5,539−65.7%減碼歷史
GDVGabelli Dividend & Income TrustCOM9,735$21.1 萬<0.1%−16,093−62.3%減碼歷史
ONOn Semiconductor CorpStock2,523$21.1 萬<0.1%−5,535−68.7%減碼歷史
Vanguard Consumer Staples ETF92204A207ETF1,104$21.1 萬<0.1%−2,628−70.4%減碼–
Innovator ETFs Trust45782C573US EQTY PWR BUF6,133$21.1 萬<0.1%+6,133新進–
First Tr Exchng Traded FD VI33740U778VEST BUFFERED9,930$21.1 萬<0.1%−29,852−75.0%減碼–
TXTTextron IncCOM2,633$21.2 萬<0.1%−3,945−60.0%減碼歷史
ZIONZions Bancorporation, National AssociationCOM4,860$21.3 萬<0.1%−9,253−65.6%減碼歷史
Global X FDS37954Y343GLBL X MLP ETF4,815$21.3 萬<0.1%−8,676−64.3%減碼–
Vanguard Admiral FDS Inc921932794SMLCP 600 GRTH1,990$21.4 萬<0.1%−2,069−51.0%減碼–
CCJCameco CorpStock5,002$21.6 萬<0.1%−2,998−37.5%減碼歷史
First Tr Exchange Traded FD33738R662INTL DEV STRNGTH6,389$21.6 萬<0.1%−16,215−71.7%減碼–
HUBBHubbell IncCOM656$21.6 萬<0.1%−1,104−62.7%減碼歷史
Fidelity MSCI Materials Index ETF316092881ETF4,459$21.7 萬<0.1%−7,827−63.7%減碼–
TMUST-Mobile US, Inc.Stock1,357$21.8 萬<0.1%−4,846−78.1%減碼歷史
GMGeneral Motors CoCOM6,069$21.8 萬<0.1%−12,454−67.2%減碼歷史
PSAPublic StorageCOM716$21.8 萬<0.1%−175−19.6%減碼歷史
Fidelity Covington Trust316092790QLTY FCTOR ETF4,024$21.9 萬<0.1%−3,982−49.7%減碼–
iShares Tr464288851US OIL GS EX ETF2,360$22.0 萬<0.1%−1,882−44.4%減碼–
LNTAlliant Energy CorpStock4,287$22.0 萬<0.1%−1,063−19.9%減碼歷史
IVTInvenTrust Properties Corp.COM NEW8,684$22.0 萬<0.1%−9,897−53.3%減碼歷史
Schwab Intermediate-Term US Treasury ETF808524854ETF4,444$22.1 萬<0.1%−8,996−66.9%減碼–
Invesco Exchange Traded FD T46137V456S&P MDCP VLU MNT4,395$22.1 萬<0.1%−5,556−55.8%減碼–
Vanguard Communication Services ETF92204A884ETF1,882$22.2 萬<0.1%−2,791−59.7%減碼–
RIOTRiot Platforms, Inc.COM14,348$22.2 萬<0.1%−9,633−40.2%減碼歷史
WMBWilliams Companies, Inc.COM6,379$22.2 萬<0.1%−25,878−80.2%減碼歷史
Global X FDS37954Y459RUSSELL 200013,286$22.2 萬<0.1%−20,678−60.9%減碼–
Invesco Exchange Traded FD T46137V548INTL DIVI ACHI12,072$22.3 萬<0.1%−12,731−51.3%減碼–

選擇權(6 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 4 季的選擇權部位
證券類別賣權買權
NWLNewell Brands Inc.Stock$9,313–
PBIPitney Bowes IncCOM$4,904–
TUPTupperware Brands CorpCOM$3,687–
GNWGenworth Financial IncCOM SHS$3,010–
NOKNokia CorpSPONSORED ADR$1,848–
UBSUBS Group AGStock–$250

2023 年第 3 季之後清倉(381 檔)

2023 年第 3 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 381 檔。

Sigma Planning Corp 在 2023 年第 3 季之後清倉的部位
證券類別2023 年第 3 季股數2023 年第 3 季市值2023 年第 3 季佔組合 %紀錄
Innovator ETFs Trust45783Y723POWER BUFFER SET191,031$509.2 萬0.2%–
iShares Tr46432F859CORE 1 5 YR USD87,727$406.9 萬0.2%–
iShares Inc464286525MSCI GBL MIN VOL37,544$358.3 萬0.1%–
First Tr Exchange Traded FD33734X143HLTH CARE ALPH33,606$326.5 萬0.1%–
Invesco Exchange Traded FD T46137V886DWA STAPLES37,451$312.5 萬0.1%–
Invesco Exch TRD SLF Idx FD46138J866BULSHS 2023 CB139,844$296.9 萬0.1%–
First Tr Exch Traded FD III33739P871HORIZON MNGD ETF98,648$266.0 萬0.1%–
State Street SPDR S&P Semiconductor ETF78464A862ETF13,366$262.0 萬0.1%–
CXMSprinklr, Inc.CL A188,136$260.4 萬0.1%歷史
iShares Tr46436E882IBONDS 23 TRM TS95,414$236.8 萬0.1%–
CEQPCrestwood Equity Partners LPUNIT LTD PARTNER52,502$153.6 萬0.1%歷史
iShares Tr46434VAX8IBONDS DEC23 ETF55,668$141.2 萬0.1%–
First Tr Exchange Trad FD VI33739H101FST TR GLB FD52,033$124.9 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J858BULSHS 2023 HY50,650$119.1 萬<0.1%–
iShares Tr46428865310-20 YR TRS ETF11,899$117.2 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J817BULSHS 2025 HY49,045$110.3 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J833BULSHS 2024 HY48,969$110.1 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J635INVSCO BLSH 2646,088$104.3 萬<0.1%–
WisdomTree Tr97717W109US TOTAL DIVIDND15,825$95.2 萬<0.1%–
VMWVmware LLCCL A COM5,598$93.2 萬<0.1%歷史
DBAInvesco DB Agriculture FundAGRICULTURE FD43,392$92.9 萬<0.1%歷史
DBPInvesco DB Precious Metals FundPRECIOUS METAL19,231$91.3 萬<0.1%歷史
Exchange Traded Concepts Tr301505749VSPR US LC ETF38,885$89.4 萬<0.1%–
TTTrane Technologies plcSHS4,289$87.0 萬<0.1%歷史
DTMDT Midstream, Inc.COMMON STOCK16,343$86.5 萬<0.1%歷史
JXNJackson Financial Inc.COM CL A22,378$85.5 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138G508SR LN ETF39,327$82.5 萬<0.1%–
BWABorgwarner IncCOM20,121$81.2 萬<0.1%歷史
CHICalamos Convertible Opportunities & Income FundSH BEN INT74,878$78.9 萬<0.1%歷史
iShares Tr46435U150IBONDS 23 TRM HG33,232$78.6 萬<0.1%–
SPDR Series Trust78464A805ST STR PR SP150014,532$76.3 萬<0.1%–
SPLKSplunk IncCOM5,208$76.2 萬<0.1%歷史
Vanguard Scottsdale FDS92206C649VNG RUS2000VAL6,192$73.9 萬<0.1%–
BCBrunswick CorpCOM9,311$73.6 萬<0.1%歷史
MASMasco CorpCOM13,699$73.2 萬<0.1%歷史
HPQHP IncStock28,079$72.2 萬<0.1%歷史
PECOPhillips Edison & Company, Inc.COMMON STOCK21,467$72.0 萬<0.1%歷史
Global X FDS37954Y632ARTIFICIAL ETF26,168$70.4 萬<0.1%–
Dimensional ETF Trust25434V815US SMALL CAP ETF27,370$69.4 萬<0.1%–
Schwab Emerging Markets Equity ETF808524706ETF28,721$68.8 萬<0.1%–
ARCHArch Resources, Inc.CL A3,916$66.8 萬<0.1%歷史
iShares U.S. Treasury Bond ETF46429B267ETF28,723$63.3 萬<0.1%–
BF.BBrown Forman CorpStock10,952$63.2 萬<0.1%歷史
Dimensional ETF Trust25434V740EMERGING MKTS VA26,558$62.9 萬<0.1%–
Global X FDS37954Y715RBTCS ARTFL INTE25,189$62.3 萬<0.1%–
RBB FD Inc74933W452F/M US TREASURY12,413$62.2 萬<0.1%–
Vanguard Scottsdale FDS92206C813LG-TERM COR BD8,635$61.8 萬<0.1%–
QQQXNuveen NASDAQ 100 Dynamic Overwrite FundCOM SHS27,424$61.6 萬<0.1%歷史
iShares Inc46434G822MSCI JAPAN ETF10,205$61.5 萬<0.1%–
Innovator ETFs Trust45782C334GRWT100 PWR BF14,254$59.6 萬<0.1%–
HIGHartford Insurance Group, Inc.Stock8,366$59.3 萬<0.1%歷史
Janus Detroit STR Tr47103U886HENDRSN SHRT ETF12,320$59.1 萬<0.1%–
NUSNu Skin Enterprises, Inc.CL A27,792$58.9 萬<0.1%歷史
SPDR Series Trust78468R804ST STR R1K LOWV4,308$57.5 萬<0.1%–
Vanguard Consumer Discretionary ETF92204A108ETF2,121$57.2 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J742RAFI STRATGIC US14,297$56.9 萬<0.1%–
VEEVVeeva Systems IncStock2,792$56.8 萬<0.1%歷史
VMIValmont Industries IncCOM2,348$56.4 萬<0.1%歷史
LZBLa-Z-Boy IncCOM18,253$56.4 萬<0.1%歷史
HOLXHologic IncCOM7,973$55.3 萬<0.1%歷史
iShares Tr46435U374MSCI JP VALUE19,291$55.1 萬<0.1%–
LIVELive Ventures IncCOM NEW19,229$54.4 萬<0.1%歷史
CMGChipotle Mexican Grill IncCOM296$54.4 萬<0.1%歷史
Invesco Exchange Traded FD T46137V464S&P MDCP MOMNTUM6,735$54.2 萬<0.1%–
IMOImperial Oil LtdCOM NEW8,450$52.0 萬<0.1%歷史
BFHBread Financial Holdings, Inc.COM15,171$51.9 萬<0.1%歷史
Innovator ETFs Trust45782C755US EQTY BUFR JUN15,794$51.8 萬<0.1%–
USBUS Bancorp DECOM NEW15,621$51.6 萬<0.1%歷史
HRLHormel Foods CorpCOM13,368$50.8 萬<0.1%歷史
HUNHuntsman CORPCOM20,738$50.6 萬<0.1%歷史
UNMUnum GroupStock10,276$50.5 萬<0.1%歷史
iShares Tr464288281JPMORGAN USD EMG6,072$50.1 萬<0.1%–
SPDR Series Trust78468R622ST BLOO HIGH ETF5,514$49.9 萬<0.1%–
INTUIntuit Inc.Stock972$49.7 萬<0.1%歷史
CHDChurch & Dwight Co IncCOM5,418$49.7 萬<0.1%歷史
SWKSSkyworks Solutions, Inc.Stock5,008$49.4 萬<0.1%歷史
Vanguard Morningstar Small-Cap Growth ETF922908595ETF2,297$49.2 萬<0.1%–
SPDR Series Trust78468R556SP O&G EXPL PRO3,285$48.6 萬<0.1%–
ILMNIllumina, Inc.COM3,539$48.6 萬<0.1%歷史
First Tr Exchange-Traded Alp33735B108COM SHS5,263$48.5 萬<0.1%–
Vanguard Mun BD FDS922907746TAX EXEMPT BD9,944$47.8 萬<0.1%–
iShares Tr464288448INTL SEL DIV ETF18,779$47.7 萬<0.1%–
LEGLeggett & Platt IncStock18,587$47.2 萬<0.1%歷史
WORWorthington Enterprises, Inc.COM7,445$46.0 萬<0.1%歷史
CPECallon Petroleum CoCOM11,761$46.0 萬<0.1%歷史
CASHPathward Financial, Inc.COM9,975$46.0 萬<0.1%歷史
FTNTFortinet, Inc.Stock7,823$45.9 萬<0.1%歷史
SBLKStar Bulk Carriers Corp.SHS PAR23,674$45.6 萬<0.1%歷史
JBHTHunt J B Transport Services IncCOM2,388$45.0 萬<0.1%歷史
FASTFastenal CoStock8,165$44.6 萬<0.1%歷史
CPCanadian Pacific Kansas City LtdCOM5,977$44.5 萬<0.1%歷史
ADIAnalog Devices IncStock2,540$44.5 萬<0.1%歷史
AGNTAGNT, Inc.COM27,340$44.4 萬<0.1%歷史
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