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Kristen Espenak

Chief Risk Officer, USA at RBC Capital Markets

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
2
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Kristen Espenak is Chief Risk Officer, USA of RBC Capital Markets, LLC, a New York investment adviser managing $310B. Kristen Espenak has a current broker registration and no current investment-adviser registration and has passed the SIE and Series 99TO.

Role at RBC Capital Markets

Title on Schedule A
Chief Risk Officer, USA
Control
Kristen Espenak is a control person of RBC Capital Markets.
Ownership
An individual ownership band is not available in the source record.
Tenure
Kristen Espenak has held the filed role since December 2022.

The firm

RBC Capital Markets, LLC
New York, NY

Form ADV filed 30 September 2026

$310B AUM283,910 clients5,908 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2019
  2. Passed SIE · 2018

Registrations and exams

Broker registration; no current adviser registration. Kristen Espenak has passed 2 qualifying exams.

Examinations

Series 99TO15 March 2019
Name
Operations Professional Examination
SIE3 December 2018
Name
Securities Industry Essentials Examination

Individual record

Full name
Kristen Elizabeth Espenak
CRD
5570750
Firm
RBC Capital Markets, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Kristen Espenak work?

Kristen Espenak has been Chief Risk Officer, USA of RBC Capital Markets, LLC since December 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 September 2026

Does Kristen Espenak have a current investment-adviser registration?

Kristen Espenak has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Kristen Espenak passed?

Kristen Espenak has passed 2 licensing exams: the SIE and Series 99TO. The earliest, the SIE, was passed in December 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at RBC Capital Markets

Sources

  1. IAPD individual record, CRD 5570750. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of RBC Capital Markets, LLC, filed 30 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Kristen Espenak or RBC Capital Markets, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.