James J. Lisanti

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CRD#: 1284322

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Joseph Lisanti was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 3 firms and has passed the Series 63, SIE, Series 99 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 17, 2013 - March 30, 2015

UNITED AMERICAN SECURITIES, INC.

CRD#: 21274

NEW YORK, NY

Past

January 1, 2001 - July 10, 2001

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

CRD#: 15654

NEW YORK, NY

Past

June 21, 1984 - January 1, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

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".

UNITED AMERICAN SECURITIES, INC.

MORA SECURIITES, INC. | UNITED AMERICAN SECURITIES, INC. | UAS ASSET MANAGEMENT

CRD#: 21274 / SEC#: 801-32004, 8-38756

RIA

Registered Investment Advisory firm - SEC (4/22/1988 Approved)

Terminated by SEC on 03/06/2015

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99

Date: 12/17/2013

Operations Professional Examination

General Industry/Product Exam

Series 7

Date: 6/16/1984

General Securities Representative Examination

Current Firm

UNITED AMERICAN SECURITIES, INC.

MORA SECURIITES, INC. | UNITED AMERICAN SECURITIES, INC. | UAS ASSET MANAGEMENT

CRD#: 21274 / SEC#: 801-32004, 8-38756

RIA

Registered Investment Advisory firm - SEC (4/22/1988 Approved)

Terminated by SEC on 03/06/2015

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Contact information

Main Address

655 Third Avenue Suite 2906, New York, NY 10017

Mailing Address

Phone number

(212) 983-5822

Established

New York since 09/21/1987

Firm type

Corporation

Fiscal year end

June

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UAS ASSET MANAGEMENT ADV PART 2A (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
MOSSAVARRAHMANI, BAHMAN	PRESIDENT AND CHIEF COMPLIANCE OFFICER	1203393
LADJEVARDI, ZOHREH D	SHAREHOLDER	1799296
MOSSAVARRAHMANI, YASMIN	DIRECTOR
OWLIA, DARIUSH	SHAREHOLDER
GERANMAYEH, ALI	MANAGING DRIECTOR	4664027

Regulatory assets under management

Total Number of Accounts	357
AUM (Assets Under Management)	$ 449,916,954

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James J. Lisanti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC

PERSHING LLC

Primary Firm SEC Registration

UNITED AMERICAN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1990

SIE

Date: 3/30/2015

Series 99

Date: 12/17/2013

Series 7

Date: 6/16/1984

Current Firm

UNITED AMERICAN SECURITIES, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

UNITED AMERICAN SECURITIES, INC.

TRUST BUT VERIFY

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