0001612599-17-000002.txt : 20170426
0001612599-17-000002.hdr.sgml : 20170426
20170426143357
ACCESSION NUMBER: 0001612599-17-000002
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20170418
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Keygent LLC
CENTRAL INDEX KEY: 0001612599
IRS NUMBER: 593837838
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00091
FILM NUMBER: 17783754
BUSINESS ADDRESS:
STREET 1: 999 N. SEPULVEDA BLVD.
STREET 2: SUITE 500
CITY: EL SEGUNDO
STATE: CA
ZIP: 90245
BUSINESS PHONE: 310-322-4222
MAIL ADDRESS:
STREET 1: 999 N. SEPULVEDA BLVD.
STREET 2: SUITE 500
CITY: EL SEGUNDO
STATE: CA
ZIP: 90245
MA-A
1
primary_doc.xml
MA-A
0001612599
XXXXXXXX
Joy Arai
310-322-4222
joy.arai@keygentcorp.com
joy.arai@keygentcorp.com
chet.wang@keygentcorp.com
tony.hsieh@keygentcorp.com
12-31-2015
Y
Keygent LLC
Add
Keygent Advisors
CA
Add
Keygent
CA
59-3837838
866-00098-00
867-00091
999 N. SEPULVEDA BLVD.
SUITE 500
EL SEGUNDO
CA
90245
310-322-4222
N
999 N. SEPULVEDA BLVD.
SUITE 500
EL SEGUNDO
CA
90245
Joy
A
Arai
999 N. Sepulveda Blvd., Suite 500
El Segundo
CA
90245
310-322-4222
866-518-7656
joy.arai@keygentcorp.com
Anthony
Robert
Hsieh
999 N. Sepulveda Blvd., Suite 500
El Segundo
CA
90245
310-322-4222
866-518-7656
tony.hsieh@keygentcorp.com
December
CA
03-06-2006
N
8
6
0
0
0
45
Municipal Entities
0
0
0
Not Applicable
Hourly Charges
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice Guaranteed IC
Advice Use Of MD
Advice On Selection
Y
The applicant provides municipal bond dissemination agent services as a primary business.
Real estate broker or dealer
1
Add
Real estate broker or dealer
Chet Wang
N/A
Y
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
Joy Arai, CCO submitted the 2015 annual update to Form MA, received on March 26, 2015 and accepted on April 27, 2015. The update was incorrectly identified as an amendment rather than the annual update. The associated file number is 867-00091and accession number is 0001612599-15-000003. To mitigate this error, this submission on April 18, 2017 is being filed to identify file number 867-00091 / accession number 0001612599-15-000003 as the 2015 annual update.
N
N
N
N
N
Y
Y
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
N
Anthony
Robert
Hsieh
Managing Member, Managing Director
03-15-2016
D
Y
Chet
Yi
Wang
Managing Member, Managing Director
07-01-2014
D
Y
Amend
Anthony
Robert
Hsieh
Managing Member, Managing Director
03-15-2016
D
Y
Amend
Chet
Yi
Wang
Managing Member, Managing Director
07-01-2014
D
Y
2
9-C2
9-C3
9-C4
9-C5
Keygent LLC, Anthony Hsieh and Chet Wang
File No. 3-17287
100 F Street NE
Washington
DC
20549
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
06-13-2016
Cease and Desist
Censure
CivilAdminPenaltyFine
Undertaking
No Product
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
06-13-2016
Order
Settled
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
Y
Y
Cease and Desist
Censure
CivilAdminPenaltyFine
Undertaking
100000.00
100000.00
05-11-2016
150000.00
Anthony
Robert
Hsieh
Y
868-02060
Keygent LLC, Anthony Hsieh, Chet Wang
File No. 3-17287
100 F Street NE
Washington
DC
20549
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
06-13-2016
Cease and Desist
Censure
CivilAdminPenaltyFine
Undertaking
No Product
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
06-13-2016
Order
Settled
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
Y
Y
Cease and Desist
Censure
CivilAdminPenaltyFine
Undertaking
30000.00
30000.00
05-11-2016
150000.00
Chet
Yi
Wang
Y
868-02060
Keygent LLC, Anthony Hsieh and Chet Wang
File No. 3-17287
100 F Street NE
Washington
DC
20549
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
06-13-2016
Cease and Desist
CivilAdminPenaltyFine
Undertaking
No Product
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
06-13-2016
Order
Settled
Please refer to https://www.sec.gov/litigation/admin/2016/34-78053.pdf
Y
Y
Cease and Desist
CivilAdminPenaltyFine
Undertaking
20000.00
20000.00
05-11-2016
150000.00
Joy A. Arai
Joy A. Arai
Chief Compliance Officer
04-18-2017
N
N
N
N
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y