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Livermore
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Sigma Planning Corp

SEC CIK
0001449126
最新申報
2026/8/7

2024 年第 3 季持倉

持倉截至 2024/9/30，2024/11/4 申報。只含多頭部位，變化是跟 2024 年第 2 季比股數。

機構總覽
持股檔數
1,205
較 2024 年第 2 季 +27
總值
$32.6 億
較 2024 年第 2 季 +$1.09 億 (+3.5%)
申報日
2024/11/4
SEC
Sigma Planning Corp 在 2024 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 01/24/20210,218$337<0.1%00.0%不變歷史
WKSPWorksport LtdCOM NEW10,942$4,672<0.1%+352+3.3%加碼歷史
DNMRDanimer Scientific, Inc.COM CL A11,956$5,430<0.1%+1,891+18.8%加碼歷史
RGTIRigetti Computing, Inc.COMMON STOCK18,746$1.47 萬<0.1%+1,330+7.6%加碼歷史
NOTVInotiv, Inc.COM10,500$1.78 萬<0.1%00.0%不變歷史
TLRYTilray Brands, Inc.COM CL 210,920$1.92 萬<0.1%−31−0.3%減碼歷史
ESPREsperion Therapeutics, Inc.COM12,241$2.02 萬<0.1%+100+0.8%加碼歷史
DNNDenison Mines Corp.COM12,000$2.20 萬<0.1%00.0%不變歷史
ZOMDFZomedica Corp.COM180,400$2.48 萬<0.1%00.0%不變歷史
PLGPlatinum Group Metals LtdCOM18,500$2.65 萬<0.1%00.0%不變歷史
OPKOpko Health, Inc.COM17,972$2.68 萬<0.1%00.0%不變歷史
CLOVClover Health Investments, Corp.COM CL A10,324$2.91 萬<0.1%+10,324新進歷史
RCATRed Cat Holdings, Inc.Stock13,684$3.48 萬<0.1%00.0%不變歷史
BBBLACKBERRY LtdCOM16,326$4.28 萬<0.1%00.0%不變歷史
GGBGerdau S.A.SPON ADR REP PFD12,747$4.46 萬<0.1%+85+0.7%加碼歷史
Amplify ETF Tr032108631AMPLIFY ALTERNAT13,889$4.60 萬<0.1%+632+4.8%加碼–
CMLSQCumulus Media IncCOM CL A35,754$4.68 萬<0.1%−4,167−10.4%減碼歷史
BBDBank BradescoSP ADR PFD NEW19,463$5.33 萬<0.1%00.0%不變歷史
IAFAbrdn Australia Equity Fund, Inc.COM12,100$5.70 萬<0.1%00.0%不變歷史
OXSQOxford Square Capital Corp.COM20,207$5.72 萬<0.1%00.0%不變歷史
Bitfarms Ltd Com09173B107Stock27,800$5.87 萬<0.1%−17,500−38.6%減碼–
FLYYSpirit Aviation Holdings, Inc.COM25,336$6.08 萬<0.1%00.0%不變歷史
SBSafe Bulkers, Inc.COM11,783$6.10 萬<0.1%+47+0.4%加碼歷史
IBRXImmunityBio, Inc.COM17,000$6.32 萬<0.1%−795−4.5%減碼歷史
AURAurora Innovation, Inc.CLASS A COM10,687$6.33 萬<0.1%+10,687新進歷史
GABGabelli Equity Trust IncCOM11,804$6.48 萬<0.1%+27+0.2%加碼歷史
ATOMAtomera IncCOM25,000$6.58 萬<0.1%−1,200−4.6%減碼歷史
JMIAJumia Technologies AGSPONSORED ADS13,646$7.29 萬<0.1%+438+3.3%加碼歷史
RWTRedwood Trust IncCOM10,656$8.24 萬<0.1%−3,224−23.2%減碼歷史
AWPabrdn Global Premier Properties FundCOM SH BEN INT18,106$8.36 萬<0.1%+1,521+9.2%加碼歷史
AGFirst Majestic Silver CorpCOM14,676$8.81 萬<0.1%+20.0%加碼歷史
CGTXCognition Therapeutics IncCOM197,190$9.24 萬<0.1%+25,050+14.6%加碼歷史
PLUGPlug Power IncStock42,367$9.57 萬<0.1%+8,837+26.4%加碼歷史
CIKUBS Asset Management Income Fund, Inc.COM31,296$9.67 萬<0.1%+33+0.1%加碼歷史
NIMNuveen Select Maturities Municipal FundSH BEN INT10,474$9.70 萬<0.1%00.0%不變歷史
FSCOFS Credit Opportunities Corp.COMMON STOCK15,732$9.99 萬<0.1%−40.0%減碼歷史
JPCNuveen Preferred & Income Opportunities FundCOM12,435$10.0 萬<0.1%+640+5.4%加碼歷史
SOUNSoundhound AI, Inc.CLASS A COM21,640$10.1 萬<0.1%+9,600+79.7%加碼歷史
BCXBlackRock Resources & Commodities Strategy TrustSHS10,829$10.4 萬<0.1%+10,829新進歷史
RWAYRunway Growth Finance Corp.COM10,200$10.5 萬<0.1%−900−8.1%減碼歷史
LTRNLantern Pharma Inc.COM28,650$10.5 萬<0.1%+250+0.9%加碼歷史
NATNordic American Tankers LtdCOM29,307$10.8 萬<0.1%+29,307新進歷史
VMOInvesco Municipal Opportunity TrustCOM10,809$11.1 萬<0.1%−809−7.0%減碼歷史
IGRCbre Global Real Estate Income FundCOM17,897$11.8 萬<0.1%+107+0.6%加碼歷史
RUMRUM Group Inc.Stock22,347$12.0 萬<0.1%+255+1.2%加碼歷史
RIVNRivian Automotive, Inc.Stock10,702$12.0 萬<0.1%−80−0.7%減碼歷史
AODabrdn Total Dynamic Dividend FundCOM SH BEN INT13,452$12.2 萬<0.1%+75+0.6%加碼歷史
MTTRMatterport, Inc.COM CL A28,825$13.0 萬<0.1%−7,350−20.3%減碼歷史
RIOTRiot Platforms, Inc.COM18,437$13.7 萬<0.1%−12,705−40.8%減碼歷史
MPTMedical Properties Trust IncCOM24,253$14.2 萬<0.1%−661−2.7%減碼歷史
CLSKCleanspark, Inc.COM NEW15,653$14.6 萬<0.1%−12,280−44.0%減碼歷史
First Tr Exchange-Traded FD33735T109COMMON SHS11,853$14.8 萬<0.1%−1,179−9.0%減碼–
NWLNewell Brands Inc.Stock19,322$14.8 萬<0.1%+2,667+16.0%加碼歷史
iShares Global Clean Energy ETF464288224ETF10,114$14.9 萬<0.1%−420−4.0%減碼–
VanEck ETF Trust92189F452MORTGAGE REIT12,450$15.0 萬<0.1%+150+1.2%加碼–
BBDCBarings BDC, Inc.COM15,509$15.2 萬<0.1%+3,127+25.3%加碼歷史
CLFCleveland-Cliffs Inc.COM11,940$15.2 萬<0.1%−11,793−49.7%減碼歷史
VSTSVestis CorpCOM SHS10,696$15.9 萬<0.1%+10,696新進歷史
EZPWEzcorp IncCL A NON VTG14,486$16.2 萬<0.1%+10.0%加碼歷史
APTOAptose Biosciences Inc.COM401,750$16.5 萬<0.1%+167,282+71.3%加碼歷史
EFREaton Vance Senior Floating-Rate TrustCOM13,399$17.1 萬<0.1%−70−0.5%減碼歷史
PHKPIMCO High Income FundCOM SHS34,554$17.3 萬<0.1%−6,853−16.6%減碼歷史
Prospect Cap Corp74348TAT9NOTE 6.375% 3/0–$17.5 萬<0.1%–––
HLHecla Mining CoCOM26,371$17.6 萬<0.1%+3,517+15.4%加碼歷史
ETVEaton Vance Tax-Managed Buy-Write Opportunities FundCOM13,090$18.1 萬<0.1%+13,090新進歷史
INTSIntensity Therapeutics, Inc.COM47,744$18.2 萬<0.1%−125−0.3%減碼歷史
SCWO374Water Inc.Common Stock135,193$18.4 萬<0.1%+9,000+7.1%加碼歷史
AIC3.ai, Inc.Stock8,346$20.2 萬<0.1%−3,830−31.5%減碼歷史
HAFNHafnia LtdORD SHS28,250$20.2 萬<0.1%+28,250新進歷史
Simplify Exchange Traded Fun82889N723AGGREGATE BD ETF9,329$20.3 萬<0.1%−2,400−20.5%減碼–
iShares Esg Aware US Aggregate Bond ETF46435U549ETF4,174$20.3 萬<0.1%−581−12.2%減碼–
Abrdn ETFs003261104BBRG ALL COMD K19,935$20.3 萬<0.1%+69+0.7%加碼–
Invesco Exch Traded FD Tr II46138E537NATL AMT MUNI8,426$20.3 萬<0.1%−598−6.6%減碼–
Innovator ETFs Trust45782C342US SML CP PWR ET6,272$20.4 萬<0.1%−850−11.9%減碼–
First Tr Exchng Traded FD VI33740F276FT ENER INCO ETF10,546$20.4 萬<0.1%−12,708−54.6%減碼–
First Tr Exchng Traded FD VI33740F862FT VEST US EQT4,474$20.5 萬<0.1%−106−2.3%減碼–
Invesco Exch TRD SLF Idx FD46138J742RAFI STRATGIC US4,079$20.5 萬<0.1%+4,079新進–
KEYKeycorpCOM12,285$20.6 萬<0.1%−8,191−40.0%減碼歷史
WABWestinghouse Air Brake Technologies CorpStock1,133$20.6 萬<0.1%+1,133新進歷史
Vanguard S&P 500 Value ETF921932703ETF1,081$20.6 萬<0.1%+1,081新進–
iShares Tr464287770U.S. FIN SVC ETF2,909$20.7 萬<0.1%+2,909新進–
GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustCOM11,755$20.7 萬<0.1%+271+2.4%加碼歷史
GNRCGenerac Holdings Inc.Stock1,302$20.7 萬<0.1%+1,302新進歷史
Vanguard Admiral FDS Inc921932885MIDCP 400 IDX1,963$20.7 萬<0.1%−632−24.4%減碼–
HUMHumana IncStock656$20.8 萬<0.1%−1,255−65.7%減碼歷史
AEMAgnico Eagle Mines LtdStock2,580$20.8 萬<0.1%+2,580新進歷史
FLGFlagstar Bank, National AssociationStock18,538$20.8 萬<0.1%+18,538新進歷史
RRyder System IncCOM1,429$20.8 萬<0.1%+1,429新進歷史
UWMCUWM Holdings CorpCOM CL A24,497$20.9 萬<0.1%+25+0.1%加碼歷史
J P Morgan Exchange-Traded F46641Q738BETBULD MSCI2,078$21.0 萬<0.1%+2,078新進–
Vanguard Scottsdale FDS92206C623VNG RUS2000GRW1,013$21.0 萬<0.1%+1,013新進–
ENPHEnphase Energy, Inc.Stock1,859$21.0 萬<0.1%+1,859新進歷史
AMPAmeriprise Financial IncCOM448$21.0 萬<0.1%−32−6.7%減碼歷史
MCHPMicrochip Technology IncStock2,621$21.0 萬<0.1%−11−0.4%減碼歷史
State Street SPDR S&P Regional Banking ETF78464A698ETF3,721$21.1 萬<0.1%+3,721新進–
CNCCentene CorpStock2,803$21.1 萬<0.1%+2,803新進歷史
Listed FDS Tr53656F623HORI KI INFL ETF5,619$21.1 萬<0.1%+5,619新進–
GPKGraphic Packaging Holding CoCOM7,145$21.1 萬<0.1%−2,072−22.5%減碼歷史
OTISOtis Worldwide CorpStock2,048$21.3 萬<0.1%−62−2.9%減碼歷史
NMAINuveen Multi-Asset Income FundCOM16,167$21.4 萬<0.1%−10.0%減碼歷史

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 2024 年第 3 季的選擇權部位
證券類別賣權買權
Invesco QQQ Trust Series I46090E103ETF$29.1 萬–
IDCCInterDigital, Inc.COM$6,685–
XRXXerox Holdings CorpCOM NEW$5,871–
ECPGEncore Capital Group IncCOM$2,880–
BFHBread Financial Holdings, Inc.COM$2,777–
UBSUBS Group AGStock–$250

2024 年第 2 季之後清倉（76 檔）

2024 年第 2 季季末還持有、這份申報已經沒有的部位。

Sigma Planning Corp 在 2024 年第 2 季之後清倉的部位
證券類別2024 年第 2 季股數2024 年第 2 季市值2024 年第 2 季佔組合 %紀錄
Pacer FDS Tr69374H725LUNT MDCAP MLT110,679$486.8 萬0.2%–
APHAmphenol CorpCL A48,719$328.2 萬0.1%歷史
ALABAstera Labs, Inc.Stock38,605$233.6 萬0.1%歷史
Capital Grp Fixed Incm ETF T14020Y102CORE PLUS INCM76,473$169.9 萬0.1%–
HUBSHubSpot IncCOM2,444$144.1 萬<0.1%歷史
iShares Tr464287754US INDUSTRIALS5,406$64.6 萬<0.1%–
WUWestern Union COStock52,697$64.4 萬<0.1%歷史
First Tr Exchange-Traded FD33733E203NY ARCA BIOTECH3,992$61.5 萬<0.1%–
iShares Tr464287580US CONSUM DISCRE7,003$56.9 萬<0.1%–
Innovator ETFs Trust45783Y277US SM CA PW JUNE22,511$56.8 萬<0.1%–
GWWW.W. Grainger, Inc.Stock616$55.5 萬<0.1%歷史
First Trust Nasdaq Clean Edge Green Energy Index Fund33733E500ETF13,864$47.2 萬<0.1%–
DASHDoorDash, Inc.Stock4,274$46.5 萬<0.1%歷史
iShares Tr464288786U.S. INSRNCE ETF3,848$43.5 萬<0.1%–
WisdomTree Tr97717W851JAPN HEDGE EQT3,739$42.2 萬<0.1%–
Northern LTS FD Tr III66538R730HCM DEFEN 5008,095$40.0 萬<0.1%–
WisdomTree Tr97717W315EMER MKT HIGH FD9,238$40.0 萬<0.1%–
Ssga Active ETF Tr78467V707ST STR UL BD ETF9,567$38.7 萬<0.1%–
NXPINXP Semiconductors N.V.COM1,431$38.5 萬<0.1%歷史
BGBunge Global SACOM SHS3,435$36.7 萬<0.1%歷史
ALGNAlign Technology IncCOM1,493$36.0 萬<0.1%歷史
PIMCO ETF Tr72201R585MULTISECTOR BD13,976$35.8 萬<0.1%–
iShares Tr46434V860TRS FLT RT BD6,666$33.8 萬<0.1%–
BROSDutch Bros Inc.CL A6,838$28.3 萬<0.1%歷史
RBB FD Inc74933W486US TREASY 2 YR5,726$27.5 萬<0.1%–
SNVSynovus Financial CorpCOM NEW6,762$27.2 萬<0.1%歷史
LYBLyondellBasell Industries N.V.SHS - A -2,809$26.9 萬<0.1%歷史
Innovator ETFs Trust45782C466GRWT100 PWR BF5,885$26.7 萬<0.1%–
PPGPPG Industries IncStock2,021$25.4 萬<0.1%歷史
ELFe.l.f. Beauty, Inc.COM1,190$25.1 萬<0.1%歷史
CPACopa Holdings, S.A.CL A2,620$24.9 萬<0.1%歷史
MRNAModerna, Inc.Stock1,939$23.0 萬<0.1%歷史
Flagstar Bank, National Association649445103COM70,323$22.6 萬<0.1%–
LTCLTC Properties IncREIT6,483$22.4 萬<0.1%歷史
First Tr Exchange Trad FD VI33739H101FST TR GLB FD9,217$22.0 萬<0.1%–
Amplify ETF Tr032108409CWP ENHANCED DIV5,660$21.9 萬<0.1%–
WNCWabash National CorpCOM10,010$21.9 萬<0.1%歷史
VVVValvoline IncCOM5,045$21.8 萬<0.1%歷史
WisdomTree Tr97717W109US TOTAL DIVIDND3,071$21.8 萬<0.1%–
NVTnVent Electric plcSHS2,826$21.7 萬<0.1%歷史
ZSZscaler, Inc.Stock1,122$21.6 萬<0.1%歷史
ASHAshland Inc.COM2,277$21.5 萬<0.1%歷史
ARK ETF Tr00214Q302GENOMIC REV ETF9,111$21.4 萬<0.1%–
Innovator ETFs Trust45783Y681NASDAQ 100 MANA7,781$21.3 萬<0.1%–
ARK Next Generation Technology ETF00214Q401ETF2,728$21.3 萬<0.1%–
First Tr Exch Traded FD III33739P830SHRT DUR MNG MUN10,695$21.1 萬<0.1%–
CRSPCRISPR Therapeutics AGNAMEN AKT3,861$20.9 萬<0.1%歷史
Bondbloxx ETF Trust09789C820BLOOMBERG SEVEN4,417$20.8 萬<0.1%–
WSTWest Pharmaceutical Services IncCOM619$20.4 萬<0.1%歷史
TEAMAtlassian CorpCL A1,152$20.4 萬<0.1%歷史
DECKDeckers Outdoor CorpCOM210$20.4 萬<0.1%歷史
ETSYEtsy IncCOM3,446$20.3 萬<0.1%歷史
Invesco Exch Traded FD Tr II46138E198S&P MIDCP LOW3,672$20.3 萬<0.1%–
Invesco Exch TRD SLF Idx FD46138J791BULSHS 2026 CB10,498$20.1 萬<0.1%–
HRHealthcare Realty Trust IncCL A COM11,384$18.8 萬<0.1%歷史
LYFTLyft, Inc.CL A COM12,905$18.2 萬<0.1%歷史
LEGLeggett & Platt IncStock15,863$18.2 萬<0.1%歷史
PCTPureCycle Technologies, Inc.COM29,181$17.3 萬<0.1%歷史
GFNew Germany Fund IncCOM19,630$16.0 萬<0.1%歷史
MIYBlackRock Muniyield Michigan Quality Fund, Inc.COM13,772$15.8 萬<0.1%歷史
SVCService Properties TrustCOM SH BEN INT27,900$14.3 萬<0.1%歷史
FAXAbrdn Asia-Pacific Income Fund, Inc.COM52,440$14.1 萬<0.1%歷史
BLEBlackRock Municipal Income Trust IICOM12,447$13.5 萬<0.1%歷史
RFICohen & Steers Total Return Realty Fund IncCOM11,367$13.1 萬<0.1%歷史
VGRVector Group LtdCOM10,936$11.6 萬<0.1%歷史
Advisorshares Tr00768Y453PURE US CANN ETF13,618$9.98 萬<0.1%–
WBDWarner Bros. Discovery, Inc.Stock10,307$7.67 萬<0.1%歷史
EDITEditas Medicine, Inc.COM12,729$5.94 萬<0.1%歷史
TPICQTpi Composites, IncCOM10,061$4.01 萬<0.1%歷史
STEMStem, Inc.CL A36,005$4.00 萬<0.1%歷史
Lithium Americas Argentina Cor Com Shs53681K100Stock11,373$3.64 萬<0.1%–
SIRISirius XM Holdings Inc.COM10,506$2.97 萬<0.1%歷史
EVGNEvogene Ltd.SHS22,775$1.48 萬<0.1%歷史
LUMNLumen Technologies, Inc.Stock11,208$1.23 萬<0.1%歷史
TELLTellurian Inc.COM13,000$9,004<0.1%歷史
KITTNauticus Robotics, Inc.COM20,000$2,722<0.1%歷史