David Y. Takagi
NWF ADVISORY SERVICES | Financial Advisor
Honolulu, HI 96813
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CRD#: 1425553
Professional summary
David Yoshio Takagi is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Honolulu, Hawaii and OSAIC WEALTH, INC. located in Honolulu, Hawaii.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. NWF ADVISORY SERVICES, INC. POSITION: Financial Advisor NATURE: Our advisory services are provided through NWF Advisory Services, Inc. in Los Angeles, an independent RIA. Their main headquarters are in LA, but our advisory services are provided through our daily business activities at our main office in Honolulu. INVESTMENT RELATED: Yes NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 20 START DATE: 03/01/2017 ADDRESS: 500 Ala Moana Blvd, Ste 2-301, Honolulu HI 96813 DESCRIPTION: I determine which clients need advisory services and transition those clients to fee-based advisory accounts, or bring on new advisory clients to the firm. I determine risk levels and time frames, manage portfolios, discuss comprehensive planning techniques, and have client review meetings. I direct my assistants or fellow advisors to perform trades and rebalancing when necessary. 2. JOHN H CONNORS INSURANCE POSITION: Insurance Agent NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 5 START DATE: 05/20/1997 ADDRESS: 500 Ala Moana Blvd, Ste 2-301, Honolulu HI 96813, United States DESCRIPTION: Licensed agent in property and casualty insurance through John H Connors Insurance Agency (see separate OBA disclosure for additional types of insurance through Takagi & Takagi). 3. CHURCH OF THE CROSSROADS POSITION: Chairman, property management committee, and council representative NATURE: Non-Profit Org (religious) INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 1212 University Ave, Honolulu HI 96826, United States DESCRIPTION: Attend one church council meeting per month, and one property meeting per month, each around 2 hours (after work or on weekend). Regarding the management of tenants on the church property and general church affairs. 4. FRIENDSHIP GARDEN FOUNDATION POSITION: Director (board member) NATURE: Non-Profit Corp. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2018 ADDRESS: P O Box 2902, Honolulu HI 96802, United States DESCRIPTION: I am a director on the board of an organization that runs a historic, botanic garden and trail. We meet once a year for 2 hours. People who enjoy the garden/trail find it only through Friendship Garden websitewww.friendshipgarden.org (but I don't personally promote it anywhere) and through word of mouth. There is no charge for entry into the garden. 5. HAWAII OPERA THEATER POSITION: Board Member NATURE: Non-Profit Org (opera company) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1991 ADDRESS: 848 S. Beretania St.#301, Honolulu HI 96813, United States DESCRIPTION: I attend once a month board meetings and perhaps 4 other marketing committee meetings per year. 6. TAKAGI & TAKAGI POSITION: Insurance Agent NATURE: Sole Proprietorship (Independent Insurance Agent in life & LTC ins). Also do Property & Casualty insurance through John H Connors Ins Agency - see separate OBA disclosure for this. INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1976 ADDRESS: 500 Ala Moana Blvd. #2-301, Honolulu HI 96813, United States DESCRIPTION: Insurance agent for life and long term care insurance through Takagi & Takagi (see separate OBA disclosure for property & casualty insurance through John H Connors Insurance Agency).
CRS (Client Relationship Summary) - RIA
Click below to view David Yoshio Takagi's 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®
NoneExperience
Current
March 9, 2017 - Present
NWF ADVISORY SERVICES INC
Office #1: 500 Ala Moana Blvd. Suite 2-401, Honolulu, HI 96813RIA
CRD#: 110410
Honolulu, HI
Current
May 9, 1997 - Present
OSAIC WEALTH, INC.
Office #1: 500 Ala Moana Blvd Two Waterfront Plaza Suite 301, Honolulu, HI 96813RIA
BD
CRD#: 23131
Honolulu, HI
Past
December 9, 2016 - April 21, 2017
OSAIC WEALTH, INC.
RIA
CRD#: 23131
HONOLULU, HI
Past
August 16, 1989 - May 23, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
Past
November 10, 1987 - July 31, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
February 19, 1987 - August 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
November 8, 1985 - May 23, 1997
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(2/9/2005)
RR
Arizona(5/20/1997)
RR
California(5/19/1997)
RR
Colorado(3/7/2001)
RR
District of Columbia(5/6/2019)
RR
Florida(6/9/2016)
RR
Georgia(7/22/2014)
RR
Hawaii(5/9/1997)
IAR
Hawaii(3/9/2017)
RR
Indiana(5/9/1997)
RR
Maryland(8/5/2002)
RR
Massachusetts(11/24/2000)
RR
Michigan(6/30/2015)
RR
Missouri(5/31/2007)
RR
Nevada(8/25/2000)
RR
New Jersey(5/9/1997)
RR
New Mexico(8/8/2005)
RR
New York(1/14/1998)
RR
North Carolina(6/4/1997)
RR
Oregon(5/9/1997)
RR
Pennsylvania(3/30/2001)
RR
Texas(8/17/2000)
RR
Utah(3/8/2018)
RR
Virginia(5/19/1997)
RR
Washington(5/9/1997)
RR
Wisconsin(8/10/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Company Information
NWF ADVISORY SERVICES INC
Financial AdvisorCRD#: 110410Honolulu, HI 96813TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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