Chief Risk Officer, USA · RBC Capital Markets, LLC
Kristen Elizabeth Espenak
CRD 5570750 · Named on Form ADV at one SEC-registered adviser
At a glance
RBC Capital Markets, LLC, an SEC-registered broker-dealer firm based in New York, NY with $310.4 billion in regulatory assets, lists Kristen Elizabeth Espenak on its Form ADV as Chief Risk Officer, USA, a control person.
Firms and roles
- RBC Capital Markets, LLCChief Risk Officer, USABroker-dealer firm · New York, NY · $310B in regulatory assets
AtlasMembers
Kristen’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings (9)
- Thomas Steven SagissorPresident of RBC Wealth Management, RBC Capital Markets, LLC
- Brett Lane ThornePresident, RBC Clearing & Custody, RBC Capital Markets, LLC
- John Christopher PennGeneral Counsel, RBC Capital Markets, LLC
- Paul Adam CarlesimoChief Compliance Officer, RBC Capital Markets - U.S., RBC Capital Markets, LLC
- Dorje Tsering GlassmanCo-Head of U.S. Capital Markets Law Group, RBC Capital Markets, LLC
4 more people named with Kristen on the same filings, with titles and firms. Free in Atlas with a free account.
See all 9 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Kristen’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.