0001612599-17-000003.txt : 20170426
0001612599-17-000003.hdr.sgml : 20170426
20170426143419
ACCESSION NUMBER: 0001612599-17-000003
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170425
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: 17783755
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
12-31-2016
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
6
5
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
1. Updated Schedule A-2 via Schedule C to add Joy Arai, CCO as an officer.
2. This submission is the annual update for the fiscal year ending 12-31-16. This filing is late due to multiple attempts to submit the information and encountering technical issues. A submission did finally transmit as accession #0001612599-17-000001 but it was suspended with a request to add the CCO to Sched A-2 (completed as described above).
3. A submission for the fiscal year ending 12-31-15 was made on 3-24-16 (accession #0001612599-16-000017) however it was accidentally transmitted as an amendment and not an annual update. To mitigate this, and as instructed by our third party compliance consultant (CCLS), we made a new submission as an annual update for 12-31-15 (accession #0001612599-17-000002) with a note in Sched D Miscellaneous describing that accession #0001612599-16-000017 was intended to be an annual update. Subsequently, on 4/25/17 we received guidance from Adam Wendell, Office of Municipal Securities that the annual update filing accession #0001612599-17-000002 should not have been made and instead we merely needed to explain the mixup on our 2016 annual update (here).
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
Add
Joy
Ayako
Arai
Chief Compliance Officer
02-09-2015
NA
N
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
04-25-2017
N
N
N
N
Y
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y