Arthur J. Thielen

THIELEN CAPITAL

Ladera Ranch, CA 92694

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CRD#: 4525121

Professional summary

Arthur John Thielen IV, who also goes by Arthur John Thielen, is a registered financial advisor currently at THIELEN CAPITAL CORPORATION located in Ladera Ranch, California.

Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Arthur has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Arthur John Thielen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur John Thielen IV's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 5, 2014 - Present

THIELEN CAPITAL CORPORATION

Office #1: 999 Corporate Drive Suite 100, Ladera Ranch, CA 92694

RIA

CRD#: 169139

Ladera Ranch, CA

Past

December 1, 2011 - January 31, 2014

SUMMIT PORTFOLIO MANAGEMENT LLC

RIA

CRD#: 111243

LAS VEGAS, NV

Past

January 21, 2011 - August 1, 2011

SUNBELT SECURITIES, INC.

CRD#: 42180

HOUSTON, TX

Past

March 25, 2010 - December 21, 2010

EVOLVE INVESTMENT ADVISORS

RIA

CRD#: 131714

AUSTIN, TX

Past

September 14, 2006 - December 31, 2010

EVOLVE SECURITIES, INC.

RIA

CRD#: 127474

HUNTINGTON BEACH, CA

Past

September 14, 2006 - December 31, 2010

EVOLVE SECURITIES, INC.

CRD#: 127474

HUNTINGTON BEACH, CA

Past

May 3, 2004 - September 14, 2006

NEWEDGE SECURITIES, LLC

CRD#: 10674

TUSCON, AZ

Past

September 16, 2003 - November 30, 2011

PATHWAYS FINANCIAL PARTNERS,INC.

RIA

CRD#: 127960

TUCSON, AZ

Past

June 2, 2003 - May 3, 2004

LONDON PACIFIC SECURITIES, INC.

CRD#: 25089

SACRAMENTO, CA

Past

July 1, 2002 - June 9, 2003

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THIELEN CAPITAL CORPORATION

THIELEN CAPITAL | THIELEN CAPITAL CORPORATION

CRD#: 169139 / SEC#: 801-132866

RIA

Registered Investment Advisory firm - (5/27/2025 Approved)

Arizona

Registered Investment Advisory firm - (6/3/2025 Terminated)

California

Registered Investment Advisory firm - (7/3/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/23/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/5/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/4/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/8/2004

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/27/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THIELEN CAPITAL CORPORATION

THIELEN CAPITAL | THIELEN CAPITAL CORPORATION

CRD#: 169139 / SEC#: 801-132866

RIA

Registered Investment Advisory firm - (5/27/2025 Approved)

Arizona

Registered Investment Advisory firm - (6/3/2025 Terminated)

California

Registered Investment Advisory firm - (7/3/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/23/2019 Terminated)

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Contact information

Main Address

999 Corporate Drive Suite 100, Ladera Ranch, CA 92694

Mailing Address

Phone number

(949) 293-8345

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THIELEN CAPITAL CORPORATION ADV BROCHURE (4/25/2025)

Regulatory assets under management

Total Number of Accounts	210
AUM (Assets Under Management)	$ 100,440,308

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Arthur J. Thielen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur John Thielen IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUMMIT PORTFOLIO MANAGEMENT LLC

SUNBELT SECURITIES, INC.

EVOLVE INVESTMENT ADVISORS

EVOLVE SECURITIES, INC.

EVOLVE SECURITIES, INC.

NEWEDGE SECURITIES, LLC

PATHWAYS FINANCIAL PARTNERS,INC.

LONDON PACIFIC SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

THIELEN CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2003

Series 63

Date: 4/26/2002

Series 7

Date: 10/8/2004

Series 6

Date: 6/27/2002

Current Firm

THIELEN CAPITAL CORPORATION

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THIELEN CAPITAL CORPORATION

TRUST BUT VERIFY

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