0001612599-18-000001.txt : 20180118
0001612599-18-000001.hdr.sgml : 20180118
20180118154943
ACCESSION NUMBER: 0001612599-18-000001
CONFORMED SUBMISSION TYPE: MA-A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171231
FILED AS OF DATE: 20180103
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: 18533983
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
12-31-2017
Y
Keygent LLC
Add
Keygent Advisors
CA
Add
Keygent
CA
59-3837838
866-00098-00
867-00091
999 N. SEPULVEDA BLVD.
SUITE 570
EL SEGUNDO
CA
90245
310-322-4222
N
999 N. SEPULVEDA BLVD.
SUITE 570
EL SEGUNDO
CA
90245
www.keygentcorp.com
NewAdd
www.linkedin.com
NewAdd
www.facebook.com
NewAdd
www.twitter.com
NewAdd
www.instagram.com
NewAdd
www.googleplus.com
NewAdd
www.pinterest.com
NewAdd
www.youtube.com
Joy
A
Arai
999 N. Sepulveda Blvd., Suite 570
El Segundo
CA
90245
310-322-4222
866-518-7656
joy.arai@keygentcorp.com
Anthony
Robert
Hsieh
999 N. Sepulveda Blvd., Suite 570
El Segundo
CA
90245
310-322-4222
866-518-7656
tony.hsieh@keygentcorp.com
December
CA
03-06-2006
N
6
7
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
This submission is the annual update for the fiscal year ending 12-31-17. Updates include:
1. Identifying Information: Item E. Principal Office Address - Suite number changed from 500 to 570 due to office move
2. Identifying Information:
Item F(1) Principal Website - keygentcorp.com
Item F(4) Additional Websites (social media sites) -
https://www.linkedin.com/company/keygent-llc/
https://www.facebook.com/KeygentLLC/
https://twitter.com/KeygentLLC
https://www.instagram.com/keygentllc/
https://plus.google.com/106894631459287653977
https://www.pinterest.com/KeygentLLC/
https://www.youtube.com/channel/UCSaUJDj1V1KV2jmpj57WHqg
3. Schedule A-2 via Schedule C - updated to designate Joy Arai, CCO as a Control Person
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
Joy
Ayako
Arai
Chief Compliance Officer
02-09-2015
NA
N
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
Amend
Joy
Ayako
Arai
Chief Compliance Officer
02-09-2015
NA
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
01-03-2018
N
N
N
N
Y
Y
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
Y