Katherine Reed has been Chief Compliance Officer of Enza Financial since July 2021, is a control person of the firm and directly owns under 5% of it. Katherine Reed holds a Bachelor of Arts and Science in Criminology and Sociology from The Ohio State University.
Enza Financial, LLC is an Independence, OH firm with $191M under management, 198 clients and 4 advisers in one office, as of its March 2026 filing.
Katie Reed is Chief Compliance Officer of Enza Financial, LLC. Reed oversees the firm's RIA compliance program, drafting internal policies and procedures and ensuring adherence to relevant laws, regulations and internal policies. Reed brings nearly 25 years of experience in the financial services sector.
Katherine Reed’s longest registration was 14 years at MML Investors Services, LLC (2003–2018).
- M Holdings Securities, Inc.– · 4 yearsPortland, OR · Adviser representative · Firm CRD 43285
- MML Investors Services, LLC– · 14 yearsCleveland, OH · Adviser representative · Firm CRD 10409
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 1 April 2002 |
| Series 7 | General Securities Representative Examination | 1 May 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Katherine E Reed
- CRD
- 4223440
- Firm
- Enza Financial · CRD 315827
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- enzafinancial.com
Where does Katherine Reed work?
Katherine Reed has been Chief Compliance Officer of Enza Financial, LLC since July 2021, and is a control person of the firm.
Does Katherine Reed have a current investment-adviser registration?
Katherine Reed has a current broker registration and no current investment-adviser registration.
What exams has Katherine Reed passed?
Katherine Reed has passed 2 licensing exams: the Series 7 and Series 24. The earliest, the Series 7, was passed in May 2001. FINRA credited Katherine Reed with the SIE, which began in October 2018.
Where was Katherine Reed previously registered as an investment adviser?
Katherine Reed has past investment-adviser registrations through M Holdings Securities, Inc., April 2018 to January 2023; MML Investors Services, LLC, May 2003 to January 2018, across 2 firms.
Is Katherine Reed registered with FINRA?
Yes. Katherine Reed has a current broker registration, under CRD 4223440.
Source: FINRA BrokerCheck
How can I verify Katherine Reed’s record?
Search CRD 4223440 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Katherine Reed’s full registration record.
