Arthur Thielen has been President/Chief Compliance Officer of Thielen Capital since October 2013, is a control person of the firm and directly owns 75% or more of it. Arthur Thielen studied at the University of Arizona.
Thielen Capital Corporation is a Ladera Ranch, CA firm with $126M under management, 82 clients and 1 adviser in one office, as of its March 2026 filing.
Arthur J. Thielen is President and Founder of Thielen Capital. He began his financial career as a registered representative for a local investment firm, then joined an investment advisory firm, where he prepared asset allocations and investment analysis for the firm's clients for nine years while building his own clientele.
Arthur Thielen’s longest registration is the current one, 12 years at Thielen Capital since 2014. Before joining Thielen Capital in 2014, Arthur Thielen was registered through Summit Portfolio Management Inc. and Evolve Investment Advisors.
- Thielen Capital CorporationCurrent– present · 12 yearsLadera Ranch, CA · Adviser representative · Firm CRD 169139
- Summit Portfolio Management Inc.– · 2 yearsLas Vegas, NV · Adviser representative · Firm CRD 111243
- Evolve Investment Advisors– · under a yearAustin, TX · Adviser representative · Firm CRD 131714
- Evolve Securities, Inc.– · 4 yearsHuntington Beach, CA · Adviser representative · Firm CRD 127474
- Pathways Financial Partners,inc.– · 8 yearsTucson, AZ · Adviser representative · Firm CRD 127960
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 7 | General Securities Representative Examination | 8 October 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 4 August 2003 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 June 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 26 April 2002 |
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Arthur John Thielen
- CRD
- 4525121
- Firm
- Thielen Capital · CRD 169139
- Role
- President/Chief Compliance Officer
- Office
- 999 CORPORATE DRIVE, SUITE 100, Ladera Ranch, CA 92694
- Registration
- Investment adviser registration
- In the industry since
- September 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- sites.google.com
Where does Arthur Thielen work?
Arthur Thielen has been President/Chief Compliance Officer of Thielen Capital Corporation since October 2013, and is a control person of the firm.
Is Arthur Thielen a financial advisor?
Yes. Arthur Thielen has a current investment-adviser registration, through Thielen Capital since February 2014.
How many years of experience does Arthur Thielen have?
Arthur Thielen has 23 years in the financial industry, since September 2003, across 5 adviser firms.
What exams has Arthur Thielen passed?
Arthur Thielen has passed 4 licensing exams: the Series 63, Series 6, Series 65 and Series 7. The earliest, the Series 63, was passed in April 2002.
Where did Arthur Thielen work before Thielen Capital?
Before Thielen Capital, Arthur Thielen was registered through Summit Portfolio Management Inc., December 2011 to January 2014; Evolve Investment Advisors, March 2010 to December 2010; Evolve Securities, Inc., September 2006 to December 2010; Pathways Financial Partners,inc., September 2003 to November 2011.
Where is Arthur Thielen based?
Arthur Thielen’s registered office is in Ladera Ranch, CA.
Is Arthur Thielen registered with FINRA?
No. Arthur Thielen has no current broker registration.
How can I verify Arthur Thielen’s record?
Search CRD 4525121 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Arthur Thielen’s full registration record.