KITTIANY DAVIS BARRIOS, a previously registered broker, was permanently barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker/dealer firm. KITTIANY DAVIS BARRIOS was formerly registered with PFS INVESTMENTS, INC of Cranbury, New Jersey from 03/15/2019 - 02/22/2024.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, without admitting or denying FINRA’s findings, KITTIANY DAVIS BARRIOS consented to the sanction and to the entry of findings that she allegedly refused to provide documents and information or to appear for on-the-record testimony requested by FINRA in connection with an investigation.
FINRA’s findings stated that the FINRA investigation originated from receipt of a FINRA Rule 4530(f) filing made by KITTIANY DAVIS BARRIOS’ member firm that disclosed a civil complaint filed by a firm client against the firm. Although DAVIS BARRIOS initially cooperated with FINRA's investigation, she allegedly ceased doing so.
FINRA’s BrokerCheck states that KITTIANY DAVIS BARRIOS had been registered in the securities industry for four years and was listed with only one firm, PFS INVESTMENTS, INC. Davis Barrios has 2 disclosures on her FINRA CRD report. One is the “Regulatory” permanently barring her from the industry dated October 17, 2024, and the other disclosure listed is an “Employment Separation after Allegation,” dated January 26, 2024. According to the FINRA report, KITTIANY DAVIS BARRIOS was “permitted to resign,” from PFS INVESTMENTS. The allegations listed were, “THE REGISTERED REPRESENTATIVE WAS UNDER INTERNAL REVIEW FOR POSSIBLE PARTICIPATION IN UNDISCLOSED OUTSIDE BUSINESS ACTIVITIES AND/OR PRIVATE SECURITIES TRANSACTIONS AT THE TIME SHE RESIGNED.”
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