This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

THRIVENT INVESTMENT MANAGEMENT INC.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jan 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

4

Exams

S66

First exam

Feb 19, 2020

First registration

Feb 20, 2020

Dual registered

yes, broker-dealer

Other names

Michael Shawn Tufty|Michael Shawn Roccisano

IAPD individual key

7189532

• Occurred

  Aug 27, 2024
  Advisor changed firm

  Michael S Roccisano left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Thrivent Investment Management Inc. (registered 2025-10-09)

  Form ADVobserved 4 days ago
• Occurred

  Nov 3, 2022
  Advisor changed firm

  Michael S Roccisano left Edward Jones for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2023-01-03)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3a8b4220-cfaf-0a1d-c7eb-6e28b5d2ee2c

First observed

Feb 20, 2020

Last observed

Sep 15, 2026 4 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.