About Me

I became a member of Mensa in 2001 and have enjoyed every moment. Now that I have retired (although still consulting); I would like to spend time giving back to Mensa.

My Mensa experience has been amazing. I have served locally as Activities Officer, Development Officer, LocSec, RG Chair, Database Coordinator, Webmaster, Testing Coordinator, Proctor, LDW Chair, Mind Games Chair 2010/2015, Scholarship Chair, Asst RVC9, and AG Chair 2016.  Nationally; I am currently serving as the 2nd Vice Chair, National Testing Officer, AG Co-Chair 2017, Membership Committee, Testing Team, Risk Management Committee, Internationally; as NatRep, Strategic Planning, and Testing Committee.

My life has been very full and I’ve been involved in many things. Now, I would like to apply my experience, knowledge, and leadership abilities to the AMC. I served on the board of the National Association of Securities Dealers (now called FINRA) for 7 years. NASD is the regulator for the securities industry in the United States. It is a not-for-profit (same as American Mensa) with 5600 member firms and 600,000 associated persons. During that time I served on the Membership, Technology, Search, Regulatory, and Audit Committees. I also served on the board of the NASDAQ Stock Market for 2 years. I served as President and Chairman of NAIBD for 12 years, a not-for-profit trade organization. I served on the President’s National Hire Veterans Committee for 2 years, this committee reported directly to the Secretary of Labor. I have a B.S. in Finance and an M.B.A. with emphasis in Management.

This is my full biography:

Education:

San Diego State University, Business College
B.S. in Finance, 1991
San Diego State University, Business College
M.B.A. with emphasis in Management, 1994

Current Employment:

• Chief Executive Officer, EndGame Consulting Group, LLC
Poway, California (January, 2012 – Present)

EndGame Consulting Group, LLC provides compliance consulting, IT consulting, and regulatory consulting to the broker/dealer industry. Ms. Bakerink provides expert witness testimony, compliance and general consulting.

Current Service:

• Chairman Emeritus, National Association of Independent Broker Dealers
San Diego, California (1996 – Present)

NAIBD is a not-for-profit, mutual benefit, trade organization for Independent Broker/Dealers. NAIBD has been in existence since 1978. NAIBD serves over 300 member firms to help provide service, education, and reliable information. Ms. Bakerink was Director of Programs from 1996-1998 and President from 1999-2001. Ms. Bakerink served as Chair of the organization from 2002-2006. Website: www.naibd.org.

• Proctor Coordinator, Database Coordinator, RG Chair, San Diego Mensa
San Diego, California (2007 – Present)

Mensa is an international society in which the sole qualification for membership is a score at or above the 98th percentile on any of a number of standard IQ tests. Mensa is a not-for-profit society whose sole purpose is to serve as a means of communication and assembly for its members.
Website: www.sandiegomensa.org.

• National Testing Officer, American Mensa
San Diego, California (2012 – Present)

Mensa is an international society in which the sole qualification for membership is a score at or above the 98th percentile on any of a number of standard IQ tests. Mensa is a not-for-profit society whose sole purpose is to serve as a means of communication and assembly for its members.
Website: www.americanmensa.org.

• Arbitrator, FINRA Board of Arbitrators
Los Angeles, California (1993 – Present)

The FINRA Board of Arbitrators provide arbitration services to investors, brokerage firms, and registered representatives that do not wish or may not use the judicial system. Ms. Bakerink is a registered arbitrator with the board and provides services comparable to a judge and jury for securities arbitrations. Website: www.finra.org/ArbitrationAndMediation/ . Ms. Bakerink has served on 5 panels to closure, 1 case as chairperson.

Other Activities:

• Speaking Engagements (1996 – present)

Ms. Bakerink has participated in many speaking engagements for the NASD, NRS (National Regulatory Services), NSCP (National Society for Compliance Professionals), SIA (Securities Industry Association), NAIBD, and the PNHVC. Subject matter usually covers Rule and Regulations for the Securities Industry and the effects of these new regulations.

• Judge, International Business Plan Competition
San Diego State University, San Diego (1999 – present)

SDSU annually gathers teams from colleges and universities worldwide to present a business plan in an open competition. The teams must be made up of primarily students but their advisors can be professionals and the plans must provide for a real and true product or service. The business plans are often judged by CEO’s of large corporations as well as Venture Capitalists. There are a high percentage of the teams that actually go on to open their business after this competition. Ms. Bakerink has served as a semi-finalist and a finalist judge.

Current Memberships:

MENSA – Lifetime Member
(In 2004, Ms. Bakerink was named one of the 25 most famous Mensans in the U.S.)
Intertel – Lifetime Member
American Association of University Women
National Association of Female Executives
Daughters of the American Revolution

Securities Licenses Previously Held:

• Series 7, 63, 24, 4, 27, 53, 55, 79, 87

Employment History:

• Chief Executive Officer, Bakerink Consulting
San Diego, California (January, 2001 – December, 2011)

Ms. Bakerink provides Compliance and Regulatory Consulting Services to brokerage firms.

• Chief Executive Officer/Chief Financial Officer/Owner, WBB Securities, LLC.
San Diego, California (January, 2002 – January, 2011)

WBB is a Securities Broker/Dealer which has 45 Registered Representatives servicing individuals and corporations. Ms. Bakerink was responsible for Management, Financial Reporting, and firm compliance with rules and regulations. Ms. Bakerink sold the firm in 2011.

• First Vice President, Pacific American Securities, LLC
San Diego, California (1999 – 2001)

Pacific American is a Securities Broker/Dealer which opened in May of 1998. Pacific American is a full service brokerage firm with 34 Registered Representatives. Ms. Bakerink was responsible for firm compliance and general management of the organization. Ms. Bakerink was the consultant used to open this firm.

• President, VersaPro, LLC
San Diego, California (1997-2000)

VersaPro was a consulting firm made up of three partners, including Ms. Bakerink. Consulting services were performed in Computer technology, structure and setup, and Compliance Consulting for Securities firms. Ms. Bakerink was responsible for financial accounting and compliance consulting. VersaPro, LLC was sold to Syzygy Technologies.

• Executive Vice President, SK International Securities Corporation
La Jolla, California (1991 – 1999)

SK International was a Securities Broker/Dealer. SK was sold to Pacific American in June of 1999. SK specialized in trading with Canadian and European Banks and Brokerage firms. Ms. Bakerink was responsible for firm compliance and general management of the organization.

• Assistant Vice President, Value Equities
La Jolla, California (1989 – 1991)

Value Equities was a Securities Broker/Dealer. Value Equities employed over 200 Registered Representatives. Value Equities was sold to Titan Capital in 1991. Ms. Bakerink was the Manager of the Trading and Operations Department. This department provided the servicing for all the Registered Representatives and their customer accounts.

• Vice President, First Certified Corporation
San Diego, California (1987 – 1989)

First Certified Corporation was a Securities Broker/Dealer. FCC employed 3 Registered Representatives and specialized in government issued bonds and other debt instruments. FCC closed in 1989 and sold the customer base to Shearson Lehman. Ms. Bakerink was responsible for the operations of the firm.

• Trader, First Affiliated Securities
San Diego, California (1983 – 1987)

First Affiliated Securities is a Securities Broker/Dealer. F.A.S. employed 450 Registered Representatives and was a full service Broker/Dealer. Ms. Bakerink was a trader responsible for executing equity and bond trades for the Registered Representatives and their customers.

Prior Service:

• Board Member, San Diego Mensa
San Diego, California (2007 – 2012)

Mensa is an international society in which the sole qualification for membership is a score at or above the 98th percentile on any of a number of standard IQ tests. Mensa is a not-for-profit society whose sole purpose is to serve as a means of communication and assembly for its members. Ms. Bakerink served as Development Officer, Activities Officer, and President. Website: www.sandiegomensa.org

• FINRA Technology Advisory Committee
Washington, DC (2005 – 2011)

FINRA is a Self Regulatory Organization which makes Rule and Policy changes for the Securities Industry. Ms. Bakerink provides insight and information regarding the needs of the smaller to mid-size broker/dealer regarding technology issues and services that the FINRA intends to provide. Website: www.finra.org .

• FINRA District 2 Nominating Committee
Los Angeles, CA (2005-2007, 2008-2010)

FINRA is a Self Regulatory Organization which makes Rule and Policy changes for the Securities Industry. Ms. Bakerink served on the committee to interview and nominate candidates to serve on the FINRA District 2 District Business Conduct Committee. Website: www.finra.org .

• FINRA Membership Committee
Washington, DC (2008 – 2010)

FINRA is a Self Regulatory Organization which makes Rule and Policy changes for the Securities Industry. Ms. Bakerink provides insight and information regarding the needs of the smaller to mid-size broker/dealer regarding technology issues and services that the FINRA intends to provide. Website: www.finra.org .

• Compliance Advisory Council, CCH Wall Street, Wolters Kluwer Financial Services
Chicago, Illinois (2002 – 2011)

CCH Wall Street is a for profit corporation which is a subsidiary of Wolters Kluwer Financial Services. CCH Wall Street provides technology and software for Compliance and Regulation for the Securities Industry. Ms. Bakerink provides advisory services on the board for new products and the direction of the firm. Website: www.cchwallstreet.com.

• Strategic Advisory Board, KHM Internet
Norwich, Massachusetts (2002 – 2008)

KHM Internet is a management and technology consulting firm specializing in helping Entrepreneurs grow their companies through: franchising, brand development, productivity, strategy and financial management. Ms. Bakerink provides advisory counsel on the board for new products, services and overall corporate strategy. Website: www.khminternet.com.

• Advisory Council, National Financial Services, LLC
Boston, Massachusetts (2004 – 2008)

National Financial offers brokerage solutions such as clearing services, capital markets, brokerage technology and investment solutions. Ms. Bakerink participates on the advisory council, which discuss improvements to industry products, technology and service, and offer input into National Financial’s strategic investments. www.fmr.com

• FINRA Small Firm Advisory Board
Washington, DC (2006 – 2008)

FINRA is a Self Regulatory Organization which makes Rule and Policy changes for the Securities Industry. Ms. Bakerink provides insight and information regarding the needs of the smaller to mid-size broker/dealer regarding regulatory issues and upcoming rules changes that the FINRA or SEC or other regulatory agencies are contemplating. Website: www.finra.org.

• Board of Governors, FINRA (Financial Industry Regulatory Authority)
Washington, District of Columbia (2007)

See Below. Website: www.finra.org.

• Board of Governors, NASD (National Association of Securities Dealers, Inc)
Washington, District of Columbia (1999 – 2006)

NASD is a Self Regulatory Organization which makes Rule and Policy changes for the Securities Industry. As part of Ms. Bakerink’s duties, she served on the Board of Directors of NASDR (the Regulation Arm of NASD), since January, 2000, and she served on the Audit Committee of the NASD since January, 1999. She also served on a sub-committee for Listing Review for Nasdaq Issuers. As part of this board Ms. Bakerink also served on several appeal panels for cases that were appealed to the NAC (National Adjudicatory Council)

• President’s National Hire Veterans Committee
Washington, District of Columbia (2004 – 2006)

The Committee was established by the Jobs for Veterans Act (H.R. 4015) in 2002. The Committee’s purpose is to furnish employers with information about the training and skills of veterans and disabled veterans. Also, to provide accountability and incentives for State Job Service programs to secure jobs for veterans. This committee reports directly to the Secretary of Labor. Website: www.hirevetsfirst.gov.

• Board of Directors, NASDAQ Stock Market
New York, New York (1999 – 2001)

The NASDAQ Stock Market is a market for Over-the-Counter stocks trades by Market-Makers on an automated system. NASDAQ was owned wholly by the NASD and was until recently a subsidiary and the board was considered a subsidiary. Website: www.nasdaq.com.

• Baxter Committee, NASDAQ Stock Market
New York, New York (1999 – 2001)

The Baxter Committee was an informal committee of the NASDAQ board which provided the information for NASDAQ to separate from the NASD as its own separate exchange.

• CEO/Chairman Search Committee, NASDAQ Stock Market
New York, New York (2000 - 2001)

NASDAQ assembled a committee to search for a replacement CEO/Chairman of the NASDAQ Stock Market. Discussions were held with search companies as well as interviewing prospective candidates.

• Member, Securities & Exchange Commission: After Hours Trading Clearing & Settlement/Operations Working Group
New York, New York (1999)

The SEC assembled a commission to review the repercussions of After Hours Trading. Ms. Bakerink served on the committee that dealt with the Settlement and Operations aspect of After Hours Trading.