13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-02, with 671 holding rows worth $631,187,000.
- Accession
- 0001420506-15-000549
- Filer
- CIK 1449126
- Filed
- 2015-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 676 entries on the cover page, a total value of $631,187,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $631,187,000 with VALUE read as thousands by filing date, 13F file number 028-16541. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 1,365 | $243,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 9,487 | $243,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 11,234 | $243,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 10,956 | $243,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 8,664 | $242,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 10,018 | $241,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 10,925 | $240,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,965 | $239,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 19,033 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,189 | $238,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 17,328 | $238,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 3,763 | $237,000 | thousands by filing date | |
| OCI RES LP | 67081B106 | COM UNIT LTD | 12,094 | $237,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 4,904 | $235,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 9,231 | $234,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 7,975 | $232,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 9,597 | $232,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 7,146 | $232,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 9,371 | $231,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 4,225 | $230,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 8,700 | $230,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 3,950 | $230,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 5,469 | $228,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 6,165 | $227,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 25,266 | $227,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 6,348 | $227,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 5,038 | $226,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 5,287 | $225,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,579 | $225,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 10,969 | $225,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 5,724 | $224,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 3,000 | $223,000 | thousands by filing date | put |
| RITEAID CORP | 767754104 | COM | 36,745 | $223,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 4,106 | $223,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,000 | $222,000 | thousands by filing date | call |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 1,475 | $220,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 11,474 | $219,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,721 | $218,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,361 | $217,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 21,145 | $217,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 6,716 | $216,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 28,290 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 8,845 | $214,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 5,324 | $214,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,850 | $214,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 4,293 | $213,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 3,136 | $213,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 21,906 | $213,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 27,119 | $213,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 5,266 | $212,000 | thousands by filing date | |
| CLECO CORP NEW | 12561W105 | COM | 3,988 | $212,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,140 | $211,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 16,658 | $211,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 4,522 | $210,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,076 | $210,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 8,182 | $210,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 7,802 | $208,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 21,045 | $208,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 3,421 | $208,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 21,412 | $207,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 8,372 | $207,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 4,741 | $206,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 36,963 | $206,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 8,242 | $206,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 2,685 | $205,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,073 | $205,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 4,983 | $205,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 9,700 | $205,000 | thousands by filing date | call |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 7,565 | $204,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,911 | $203,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 4,996 | $203,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,055 | $202,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 8,905 | $202,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 2,894 | $201,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 5,280 | $201,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 3,356 | $201,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 16,924 | $199,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 14,910 | $198,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 11,254 | $193,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 19,160 | $191,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 39,983 | $190,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 19,334 | $189,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 10,786 | $186,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 22,343 | $185,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,728 | $184,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 22,749 | $184,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 49,202 | $184,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 10,397 | $183,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 20,400 | $183,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 19,468 | $178,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,680 | $177,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 11,713 | $175,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 18,400 | $170,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 11,144 | $169,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 16,581 | $167,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 10,702 | $166,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 11,338 | $164,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 27,679 | $161,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 14,638 | $159,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 12,068 | $159,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 11,918 | $157,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 11,362 | $154,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 20,466 | $150,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 18,280 | $146,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 11,079 | $143,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 26,300 | $141,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 10,657 | $139,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,246 | $135,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 14,911 | $129,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 10,407 | $124,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 19,114 | $124,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 12,051 | $119,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 11,048 | $117,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 19,011 | $117,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 10,116 | $116,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 57,027 | $116,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 15,837 | $114,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 15,213 | $110,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 100,982 | $108,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 20,293 | $107,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 19,367 | $106,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 17,034 | $105,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 40,300 | $102,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 95,000 | $95,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 15,650 | $95,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 13,567 | $94,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 12,471 | $90,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 15,605 | $90,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 19,162 | $90,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 17,196 | $86,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 12,500 | $85,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 17,005 | $79,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 11,643 | $79,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 12,782 | $78,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 10,532 | $73,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 13,065 | $73,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 11,409 | $73,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 10,006 | $72,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 15,589 | $71,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 12,619 | $70,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 12,295 | $70,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 16,377 | $69,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 12,494 | $65,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D381 | Cmn | 10,156 | $64,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 11,087 | $63,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 11,800 | $63,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 27,159 | $62,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 12,100 | $60,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 11,285 | $55,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 11,102 | $51,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 18,847 | $46,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 16,087 | $43,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 21,969 | $37,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 10,872 | $32,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 23,000 | $24,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 50,136 | $23,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 10,142 | $23,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 83,710 | $21,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 20,000 | $19,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 14,000 | $14,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,000 | $13,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 21,897 | $12,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 25,599 | $10,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 10,000 | $10,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 14,266 | $7,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 10,000 | $7,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 11,100 | $6,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 16,566 | $4,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 11,030 | $4,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 16,025 | $3,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 10,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-15-000549 | this filing | 2015-11-02 | acceptance time not in the bulk data set |