KR
Katherine E. Reed
M HOLDINGS SECURITIES
Independence, OH 44131
Some features on this profile are disabled
CRD#: 4223440
KR
Professional summary
Katherine E Reed, who also goes by Katherine E Green, Katie Reed, Katherine Reed, is a registered financial professional currently at M HOLDINGS SECURITIES, INC. located in Independence, Ohio.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2001. Katherine has worked at 3 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katherine E Green | Katie Reed | Katherine Reed
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) ENZA FINANCIAL; 6450 ROCKSIDE WOODS BLVD S, SUITE 900, INDEPENDENCE, OH 44131; 1/29/2018; OPERATIONS MANAGER; NOT INVESTMENT RELATED; 20 HOURS/MONTH, 20 HOURS/MONTH DURING BUSIENSS HOURS; WAGES, SALARY, TIPS. (2) ENZA FINANCIAL, LLC; 6450 ROCKSIDE WOODS BLVD S, SUITE 900, INDEPENDENCE, OH 44131; INVESTMENT ADVISOR; INVESTMENT-RELATED; CCO; CCO, CLIENT ACCOUNT OPENING AND PROCESSING TRADES; 01/2022; 80 HOURS/MONTH; 80 HOURS/MONTH DURING TRADING HOURS.
CRS (Client Relationship Summary) - BD
Click below to view Katherine E Reed's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 25, 2018 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 6450 Rockside Woods Blvd. Suite 150, Independence, OH 44131RIA
BD
CRD#: 43285
Independence, OH
Past
April 26, 2018 - January 9, 2023
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
PORTLAND, OR
Past
May 15, 2003 - January 19, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CLEVELAND, OH
Past
December 7, 2001 - January 19, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CLEVELAND, OH
Past
May 2, 2001 - September 13, 2001
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MH
M HOLDINGS SECURITIES, INC.
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
RIA
Registered Investment Advisory firm - SEC (3/14/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Ohio(4/26/2018)
Exams
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MH
M HOLDINGS SECURITIES, INC.
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
RIA
Registered Investment Advisory firm - SEC (3/14/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1125 N.w. Couch Street Suite 900, Portland, OR 97209
Mailing Address
P.o. Box 2207, Portland, OR 97208-2207
Phone number
(888) 520-6784
Established
Oregon since 03/21/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,442
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
