Frances Harkins has been an investment adviser representative at Wheels Up Wealth since April 2020, and is not listed among the firm’s executive officers or direct owners.
Wheels Up Wealth, Inc. is a firm with $130M under management, 114 clients and 3 advisers in one office, as of its February 2026 filing.
Frances Harkins’ longest registration was 11 years at Grossman Financial Management (2001–2013). Before joining Wheels Up Wealth in 2020, Frances Harkins was registered through North Capital and Grossman Financial Management.
- Wheels Up Wealth, Inc.Current– present · 6 yearsVallejo, CA · Adviser representative · Firm CRD 307736
- North Capital– · 7 yearsBenicia, CA · Adviser representative · Firm CRD 148802
- Grossman Financial Management– · 11 yearsBenicia, CA · Adviser representative · Firm CRD 128566
Investment adviser representative registrations
Frances Harkins is registered as an investment adviser representative in California, since April 2020.
- CaliforniaSince 21 April 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 26 October 2000 |
| Series 7 | General Securities Representative Examination | 19 October 2000 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Frances Evans Harkins
- CRD
- 4244859
- Firm
- Wheels Up Wealth · CRD 307736
- Office
- Vallejo, CA
- Registration
- Investment adviser registration
- In the industry since
- October 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does Frances Harkins work?
Frances Harkins is an investment adviser representative registered through Wheels Up Wealth, Inc. since April 2020, and is not listed among the firm’s executive officers or direct owners.
Is Frances Harkins a financial advisor?
Yes. Frances Harkins has a current investment-adviser registration in California, through Wheels Up Wealth since April 2020.
How many years of experience does Frances Harkins have?
Frances Harkins has 24 years in the financial industry, since October 2001, across 3 adviser firms.
What exams has Frances Harkins passed?
Frances Harkins has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in October 2000.
Where did Frances Harkins work before Wheels Up Wealth?
Before Wheels Up Wealth, Frances Harkins was registered through Grossman Financial Management, September 2001 to May 2013.
Where is Frances Harkins based?
Frances Harkins’ registered office is in Vallejo, CA.
Is Frances Harkins registered with FINRA?
No. Frances Harkins has no current broker registration.
How can I verify Frances Harkins’ record?
Search CRD 4244859 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Frances Harkins’ full registration record.
