David Yoshio Takagi

Current Employers

Employment History

• 09/1975 → Present
  Ocidental Underwriters Of Hawaii
  Honolulu, HI
• 09/1975 → Present
  Transamerica Occidental Life
  Honolulu, HI
• 05/1997 → Present
  Royal Alliance Associates, Inc.
  Honolulu, HI

Other Businesses

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. 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 meeting and perhaps 4 other marketing committee meetings per year. 3. 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. 4. 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). 5. 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. 6. 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).

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-08-31
• S63 Uniform Securities Agent State Law Examination
  1985-11-02