AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SY

Shiyue Yu

TRIPLE P SECURITIES
Chicago, IL 60654
CRD#: 7770340
Some features on this profile are disabled
SY
Shiyue YuTRIPLE P SECURITIES

Professional summary

Shiyue Yu, who also goes by Alice Yu, is a registered financial professional currently at TRIPLE P SECURITIES, LLC located in Chicago, Illinois.

Shiyue is registered as a RR (Registered Representative) and started their career in finance in 2023. Shiyue has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alice Yu

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) - BD

Click below to view Shiyue Yu'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

June 9, 2026 - Present

TRIPLE P SECURITIES, LLC

Office #1: 300 North Lasalle Suite 1420, Chicago, IL 60654
BD
CRD#: 323197
Chicago, IL
Past

August 8, 2023 - May 19, 2026

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
CHICAGO, IL

State Registrations and Notice Filings

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

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
Illinois
(6/9/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/14/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/8/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/1/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TRIPLE P SECURITIES, LLC
PORTAGE POINT | TRIPLE P SECURITIES, LLC | PORTAGE POINT PARTNERS

CRD#: 323197 / SEC#: , 8-71006

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...

Contact information

Main Address
640 Fifth Avenue 10th Floor, New York, NY 10019
Mailing Address
300 N La Salle St. Ste. 1420, Chicago, IL 60654
Phone number
(312) 781-7520
Established
Delaware since 08/31/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
PORTAGE POINT PARTNERS, LLCMEMBER
ATTANASIO, ELIZABETH MARIEFINOP5325007
BREMER, STEVEN WALTERMANAGING DIRECTOR5161797
COHEN, JASON ADAMCEO
TURNER, EDEN KIERNANCHIEF COMPLIANCE OFFICER6348203

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.

Company Information

TRIPLE P SECURITIES, LLC

CRD#: 323197Chicago, IL 60654

TRUST BUT VERIFY

Monitor Shiyue Yu

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
CHICAGO, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
CHICAGO, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.