KJ
Kevin M. James
OCTOBER EFFECT LTD.
Newport News, VA 23606
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CRD#: 4673199
KJ
Professional summary
Kevin Matthew James is a registered financial advisor currently at OCTOBER EFFECT LTD. located in Newport News, Virginia and GRADIENT SECURITIES, LLC located in Newport News, Virginia.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Kevin has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. OCTOBER EFFECT, LTD; INV RELATED; 11815 FOUNTAIN WAY SUITE 300, VIRGINIA BEACH, VA 23606; ADVISORY SERVICES; INVESTMENT ADVISOR REPRESENTATIVE; START 02/2023; 80 HOURS PER MONTH; 80 HOURS DURING TRADING HOURS; INVESTMENT ADVISORY SERVICES. 2. GRADIENT SECURITIES; YES; ARDEN HILLS, MN; REGISTERED REPRESENTATIVE; 02/2023; XX/MO; XX/MO 3. KEVIN JAMES; INV RELATED; 11815 FOUNTAIN WAY SUITE 300, VIRGINIA BEACH, VA 23606; INSURANCE; INSURANCE AGENT; START 02/2023; 40 HOURS PER MONTH; 30 HOURS DURING TRADING HOURS; SALES OF INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Matthew James'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
March 8, 2023 - Present
OCTOBER EFFECT LTD.
Office #1: 11815 Fountain Way Suite 300, Newport News, VA 23606RIA
CRD#: 281369
Newport News, VA
Current
February 13, 2023 - Present
GRADIENT SECURITIES, LLC
Office #1: 11815 Fountain Way Suite 300, Newport News, VA 23606Office #2: One Columbus Center Suite 651a, Virginia Beach, VA 23462RIA
BD
CRD#: 127701
Newport News, VA
Past
February 9, 2012 - February 13, 2023
OSAIC FA, INC.
RIA
CRD#: 3978
VIRGINIA BEACH, VA
Past
July 8, 2011 - February 13, 2023
OSAIC FA, INC.
BD
CRD#: 3978
VIRGINIA BEACH, VA
Past
March 7, 2006 - October 13, 2009
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
RICHMOND, VA
Past
January 14, 2005 - January 10, 2006
SCOTT & STRINGFELLOW, LLC
RIA
CRD#: 6255
RICHMOND, VA
Past
July 29, 2004 - January 10, 2006
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
RICHMOND, VA
Past
October 23, 2003 - January 7, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RICHMOND, VA
Past
October 23, 2003 - January 7, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 23, 2003 - January 7, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
OE
OCTOBER EFFECT LTD.
OCTOBER EFFECT LTD | OCTOBER EFFECT LTD.
CRD#: 281369 / SEC#: 801-132795
RIA
Registered Investment Advisory firm - (5/16/2025 Approved)Colorado
Registered Investment Advisory firm - (9/15/2025 Terminated)Florida
Registered Investment Advisory firm - (9/10/2025 Terminated)Maryland
Registered Investment Advisory firm - (6/6/2022 Terminated)North Carolina
Registered Investment Advisory firm - (9/30/2025 Terminated)South Carolina
Registered Investment Advisory firm - (9/10/2025 Terminated)Texas
Registered Investment Advisory firm - (9/10/2025 Terminated)Virginia
Registered Investment Advisory firm - (9/13/2025 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Connecticut(2/13/2023)
RR
Massachusetts(7/17/2025)
RR
Missouri(2/13/2023)
RR
North Carolina(2/13/2023)
RR
South Carolina(2/13/2023)
RR
Texas(2/13/2023)
IAR
Texas(3/20/2023)
RR
Virginia(2/13/2023)
IAR
Virginia(3/8/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OE
OCTOBER EFFECT LTD.
OCTOBER EFFECT LTD | OCTOBER EFFECT LTD.
CRD#: 281369 / SEC#: 801-132795
RIA
Registered Investment Advisory firm - (5/16/2025 Approved)Colorado
Registered Investment Advisory firm - (9/15/2025 Terminated)Florida
Registered Investment Advisory firm - (9/10/2025 Terminated)Maryland
Registered Investment Advisory firm - (6/6/2022 Terminated)North Carolina
Registered Investment Advisory firm - (9/30/2025 Terminated)South Carolina
Registered Investment Advisory firm - (9/10/2025 Terminated)Texas
Registered Investment Advisory firm - (9/10/2025 Terminated)Virginia
Registered Investment Advisory firm - (9/13/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Columbus Center, Suite 651a, Virginia Beach, VA 23462
Mailing Address
Phone number
(757) 390-3341
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 588 |
| AUM (Assets Under Management) | $ 111,668,310 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
OCTOBER EFFECT LTD.
CRD#: 281369Newport News, VA 23606TRUST BUT VERIFY
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