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Kittiany Barrios Permitted to Resign by PFS Investments

Kittiany Barrios (CRD #: 6941840) was permitted to resign by PFS Investments, according to her BrokerCheck record, accessed on March 6, 2024. Keep reading if you have questions regarding his conduct.

Employment Separation After Allegations 

Kittiany Barrios was permitted to resign by PFS Investments following allegations that she was under internal review for possible participation in undisclosed outside business activities and/or private securities transactions.

Outside Businesses 

Kittiany Barrios has the following outside businesses listed on her detailed BrokerCheck record:

  • Sales of Investment-Related Products for Primerica or PFS Investments 
  • David Barrios Associates 
  • Titi & Mili: Real estate investing and e-commerce 

FINRA Rule 3280 – Private Securities Transactions

FINRA Rule 3280 requires brokers to provide written notice to their firm before engaging in private securities transactions. 

FINRA Rule 3270 – Outside Business 

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Background Information 

Kittiany Barrios has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • Series 6TO Investment Company Products / Variable Contracts Representative Examination 
  • SIE – Securities Industry Essentials Examination

Kurta Law Can Help 

If you have worked with Kittiany Barrios and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.

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