Kevin James has been an investment adviser representative at October Effect since March 2023, and is not listed among the firm’s executive officers or direct owners.
October Effect LTD. is a Virginia Beach, VA firm with $146M under management, 597 clients and 4 advisers across 3 offices, as of its June 2026 filing.
Kevin James is Investment Advisor Representative of October Effect, Ltd. He is responsible for the preparation and ongoing management of client financial plans, annual financial updates and investment portfolio reviews, recommendations and implementation. He has 25 years in the financial industry and held several management and analysis roles before moving into the advisory business.
Kevin James’ longest registration was 11 years at Lincoln Financial Advisors Corporation (2012–2023). Before joining October Effect in 2023, Kevin James was registered through Lincoln Financial Advisors Corporation and Scott & Stringfellow, Inc.
- October Effect LTD.Current– present · 3 yearsNewport News, VA · Adviser representative · Firm CRD 281369
- Lincoln Financial Advisors Corporation– · 11 yearsVirginia Beach, VA · Adviser representative · Firm CRD 3978
- Scott & Stringfellow, Inc.– · under a yearRichmond, VA · Adviser representative · Firm CRD 6255
- American Express Financial Advisors, Inc.– · under a yearRichmond, VA · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Kevin James is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in March 2023.
- TexasResidentSince 20 March 2023
- VirginiaSince 8 March 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 19 January 2012 |
| Series 7 | General Securities Representative Examination | 22 October 2003 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kevin Matthew James
- CRD
- 4673199
- Firm
- October Effect · CRD 281369
- Office
- 11815 Fountain Way, Suite 300, Newport News, VA 23606
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- octobereffectltd.com
Where does Kevin James work?
Kevin James is an investment adviser representative registered through October Effect LTD. since March 2023, and is not listed among the firm’s executive officers or direct owners.
Is Kevin James a financial advisor?
Yes. Kevin James has a current investment-adviser registration in Texas and Virginia, through October Effect since March 2023.
How many years of experience does Kevin James have?
Kevin James has 20 years in the financial industry, since March 2006, across 4 adviser firms.
What exams has Kevin James passed?
Kevin James has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2003. FINRA credited Kevin James with the SIE, which began in October 2018.
Where did Kevin James work before October Effect?
Before October Effect, Kevin James was registered through Lincoln Financial Advisors Corporation, February 2012 to February 2023; Scott & Stringfellow, Inc., January 2005 to January 2006; American Express Financial Advisors, Inc., October 2003 to January 2004.
Where is Kevin James based?
Kevin James’ registered office is in Newport News, VA.
Is Kevin James registered with FINRA?
Yes. Kevin James has a current broker registration, under CRD 4673199.
Source: FINRA BrokerCheck
How can I verify Kevin James’ record?
Search CRD 4673199 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Kevin James’ full registration record.
