Andre Rice

MULLER & MONROE ASSET MANAGEMENT

CHICAGO, IL 606101

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CRD#: 726165

Professional summary

Andre Rice, who also goes by S Andre Rice, S. Andre Rice, Sherman Andre Rice, is a registered financial advisor currently at MULLER & MONROE ASSET MANAGEMENT,LLC located in Chicago, Illinois.

Andre is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Andre has worked at 5 firms and has passed the Series 63, Series 65, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

S Andre Rice | S. Andre Rice | Sherman Andre Rice

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) - RIA

Click below to view Andre Rice'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®

None

Experience

Current

November 23, 2004 - Present

MULLER & MONROE ASSET MANAGEMENT,LLC

Office #1: 180 N. Stetson Ave. Suite 1320, Chicago, IL 606101

RIA

CRD#: 132073

CHICAGO, IL

Past

November 29, 2004 - November 20, 2017

ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC

RIA

CRD#: 133363

CHICAGO , IL

Past

May 1, 1996 - September 13, 1996

REFCO SECURITIES, LLC

CRD#: 14094

NEW YORK, NY

Past

June 25, 1987 - March 6, 1990

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

March 23, 1981 - August 6, 1985

GOLDMAN SACHS & CO. LLC

CRD#: 361

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".

MULLER & MONROE ASSET MANAGEMENT,LLC

CRD#: 132073 / SEC#: 801-69275

RIA

Registered Investment Advisory firm - (7/3/2008 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(11/23/2004)

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: 3/24/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/8/2004

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 4/30/1996

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 6/29/1982

Interest Rate Options Examination

Current Firm

MULLER & MONROE ASSET MANAGEMENT,LLC

CRD#: 132073 / SEC#: 801-69275

RIA

Registered Investment Advisory firm - (7/3/2008 Approved)

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Contact information

Main Address

180 N. Stetson Avenue Suite 1320, Chicago, IL 60601-6820

Mailing Address

Phone number

(312) 782-7771

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

M2AM FORM ADV PART 2A 7.15.25 (7/15/2025)

M2AM FORM ADV PART 2B 7.15.25 (7/15/2025)

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 1,523,579,042

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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Andre Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andre Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

MULLER & MONROE ASSET MANAGEMENT,LLC

ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC

REFCO SECURITIES, LLC

CITISTREET EQUITIES LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

MULLER & MONROE ASSET MANAGEMENT,LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/24/2016

Series 65

Date: 10/8/2004

Series 7

Date: 4/30/1996

Series 5

Date: 6/29/1982

Current Firm

MULLER & MONROE ASSET MANAGEMENT,LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MULLER & MONROE ASSET MANAGEMENT,LLC

TRUST BUT VERIFY

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