Kittiany Davis Barrios: FINRA Bars Ex-PFS Advisor

Former Cranbury, New Jersey financial advisor Kittiany Davis Barrios (CRD# 6941840) was recently sanctioned in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former PFS Investments broker is currently not registered with any state or broker-dealer firm.

A Letter of Acceptance, Waiver, and Consent (# 2023080015802) released by FINRA describes its enforcement action against Ms. Davis Barrios. Filed on October 17, 2024, it alleges that she refused to cooperate with an investigation into alleged misconduct. According to the sanction, FINRA’s investigation stemmed from a disclosure by her former member firm, PFS Investments, regarding a customer’s complaint against it. Pursuant to FINRA Rule 8210, which empowers FINRA to require associated persons to provide information and documents connected with its investigations, it requested that she provide such. After originally cooperating with the probe, “she ceased doing so in September 2024,” according to the AWC Letter. Finding that she violated FINRA Rules 8210 and 2010, the regulator barred her from associating with any member firm.

Ms. Davis Barrios’ BrokerCheck report discloses her resignation from PFS Investments. Filed in January 2024, it states that she was “permitted to resign” while under review “for possible participation in undisclosed outside business activities and/or priv[a]te securities transactions.”

According to the Financial Industry Regulatory Authority, Kittiany Davis Barrios holds four years of securities industry experience. Most recently based in Cranbury, New Jersey, she was registered as a broker with PFS Investments from 2019 until 2024. Her credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Investment Company Products/Variable Contracts Representative Examination, or Series 6TO; and the Uniform Securities Agent State Law Examination, or Series 63.  She has been barred from associating with any FINRA member firm. (Information current as of October 18, 2024.)

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