AR
Andre Rice
MULLER & MONROE ASSET MANAGEMENT,LLC
CHICAGO, IL 606101
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CRD#: 726165
AR
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.
1)SINCE JULY 1999, MR. RICE HAS SERVED AS PRESIDENT OF MULLER & MONROE ASSET MANAGEMENT, LLC, A REGISTERED INVESTMENT ADVISOR. MR. RICE'S ACTIVITIES INCLUDE, BUT ARE NOT LIMITED TO, OVERSEEING ALL FUNCTIONS OF THE FIRM INCLUDING INVESTMENTS, SALES AND MARKETING, FINANCIAL REPORTING, AND BACK OFFICE. MR. RICE WILL SPLIT HIS TIME APPROXIMATELY 50%/50% BETWEEN SUPERVISING THE INVESTING, BACK OFFICE AND CLIENT SERVICE ACTIVITIES OF MULLER & MONROE ASSET MANAGEMENT AND THE SALES AND MARKETING ACTIVITIES OF WANNAMAKER POND, LLC.
2) MR. RICE IS THE MANAGING MEMBER OF THE RICE GROUP LTD. HE HAS HELD THIS ROLE SINCE NOVEMBER 1986.
3) SINCE SEPTEMBER 2012, MR. RICE HAS SERVED AS A BOARD MEMBER FOR THE CHICAGO COOK WORKFORCE INVESTMENT BOARD LOCATED AT 69 W. WASHINGTON STREET, SUITE 2860, CHICAGO, IL 60602. THE BOARD IS A FEDERALLY MANDATED BODY THAT OVERSEES THE INVESTMENT OF THE REGION'S ANNUAL WORKFORCE INVESTMENT ACT ALLOCATION FROM THE U.S DEPARTMENT OF LABOR. MR. RICE ATTENDS MEETINGS AT THE BAORD TO DISCUSS PARTNERSHIPS AND THE DEVELOPMENT OF PROGRAMS IN THE CHICAGOLAND REGION. MR. RICE DEVOTES 5 HOURS PER MONTH TO THIS OUTSIDE BUSINESS.
CRS (Client Relationship Summary) - RIA
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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
November 23, 2004 - Present
MULLER & MONROE ASSET MANAGEMENT,LLC
Office #1: 180 N. Stetson Ave. Suite 1320, Chicago, IL 606101RIA
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
BD
CRD#: 14094
NEW YORK, NY
Past
June 25, 1987 - March 6, 1990
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
March 23, 1981 - August 6, 1985
GOLDMAN SACHS & CO. LLC
BD
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".
M&
MULLER & MONROE ASSET MANAGEMENT,LLC
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 6/29/1982
Interest Rate Options ExaminationCurrent Firm
M&
MULLER & MONROE ASSET MANAGEMENT,LLC
MULLER & MONROE ASSET MANAGEMENT,LLC
CRD#: 132073 / SEC#: 801-69275
RIA
Registered Investment Advisory firm - (7/3/2008 Approved)Upgrade to AdvisorCheck Premium
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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
18
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 1,523,579,042 |
Red Flags
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Company Information
MULLER & MONROE ASSET MANAGEMENT,LLC
CRD#: 132073Chicago, IL 606101TRUST BUT VERIFY
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