*If the recording has two or more notes, [FA] & Other FAs
Example:
John Doe & Other FA or John Doe & Other FAs

*Can also be used if content of IC is more than the allowed characters and will not fit the IC field

First Name/Last Name
If spelled incorrectly, write the correct spelling (Write in the special instructions field the name dictated by the wholesaler – can also add the correct or used name)

If not specified or no contact name provided, put “[None Provided]” (Check context)

If audio is distorted or audio gap and the contact name was not captured, “[Unintelligible]”, “[Unintelligible 0:xx:xx]” or “[Audio gap]”

CRD (text field) – Required for two or more attendees

1 on 1 (tick box) – As necessary

Account (Firm/Company)
As dictated
Skip/leave blank if not specified or check meeting note context for clues
**Emailed notes preference for Mike Marino: Use the Account name provided in the email and put the entire name on the Account field.**

Location
As dictated (can be complete address)
Skip/leave blank if not specified or check meeting note context for clues

Same account / location (tick box)
Untick if FAs are from different accounts (firms/company) or locations

(Meeting comments here; transcribe smart clean verbatim)

If time is provided, transcribe as dictated – sentence format

For non-Merrill Lynch FAs
*Virtual Engagement (Call, Conference Call, Email Sales Contact)
*Virtual Engagement w/ HOKP (Conference Call w/ HOKP)
*In-Person Engagement (1 on 1 Dinner – Outing, 1 on 1 Meeting, Group Dinner – Outing, Group Meeting, Onsite Due Diligence, End Client Seminar for Advisors, Team Mtg Participant)
*In-Person Engagement w/ HOKP (1 on1 Meeting w/ HOKP, Group Meeting w/ HOKP, End Client Seminar for Advisors w/ HOKP)
*Attempt (Email, Voicemail) (Not utilized as per recent POC instructions.)

For Merrill Lynch FAs
*1 on 1 Meeting
*1 on 1 meeting w/HOKP
*Branch Meeting
*Branch Meeting w/HOKP
*Virtual Meeting
*Virtual Meeting w/HOKP
*Proactive Outbound
*Left Message
*Reactive Inbound

Engagement – Defined by any substantive conversation that either creates / advances a sales opportunity or establishes / strengthens a relationship. Attempt – Defined by any proactive outreach not resulting in a substantive conversation. **DO NOT use Attempt as per POC instructions.**

(Retention, Acquisition, Combination)

https://www.wisdomtree.com/investments/etfs

(If Activity Type is *** w/HOKP)

If FA/contact is Merrill Lynch, Model Engagement will be provided by WS – no default
(If not dictated, send clarification email for missing info)

⦁ Not Applicable/IMM and Prescriptive Engagement related message
⦁ Not Engaged – Creates own CMS
⦁ Not Engaged – No Intention of utilizing model portfolios or ETFs
⦁ Not Engaged – No Intention of utilizing model portfolios, but willing to engage ETFs
⦁ Not Engaged – Uses Advisor Discretion
⦁ Not Engaged – Uses Client Discretion
⦁ Engaged – Comfortable using CIO Models
⦁ Engaged – Is interested in adding IMM as compliment to CIO
⦁ Engaged – Unhappy with CIO models and looking for new options
⦁ Engaged – Looking to change Investment Process to ⦁ incorporate model portfolios
⦁ Engaged – Has requested additional information and requires follow-up
⦁ Not Applicable/IMM Not Discussed – But Engaged w/ ETFs

(for Merrill Lynch Fas)

If FA/contact is Merrill Lynch, Model Engagement will be provided by WS – no default
(If not dictated, send clarification email for missing info)

⦁ N/A
⦁ Advisor Interested Follow up Required
⦁ Closed Won New Business
⦁ Closed Lost No Opportunity
⦁ Product Update
⦁ Value Add/FA Training
⦁ Referred to Specialist Team
⦁ Setup Client Meeting
⦁ Setup Virtual Meeting
⦁ Setup Seminar

(for Merrill Lynch Fas)

⦁ Model Related: Attempt
⦁ Model Related: Not Interested
⦁ Model Related: Interested
⦁ Portfolio & Growth Solutions – Attempt