DANA Fields

Requirements

Type

Normal – New (SF) – By Default
Normal – Existing (SF) – (For Existing Activities)

Follow-up (When a note requires (2) two follow-up activities,

use this type on the 2^nd follow-up note

Wholesaler Preferences

READ CAREFULLY before proceeding.

There are wholesaler preferences which contain instructions like “Trigger words such as spoke merits an Outbound call interaction type instead of a face to face meeting”. (e.g. Spoke with John Smith)

Special Instructions

As necessary

Internal Comments

As necessary

Date

As dictated

If none, use recording date or contextual clues. Send clarification if otherwise.

Time

As dictated

If none, leave blank (default time for breakfasts, lunches, dinners does not apply). Apply end time when applicable based on context (e.g. The meeting started at 9. Took us about 45 mins.)

Advisor name

As provided (FINRA-generated names are also accepted e.g. Jim Smith vs James Smith)

If none provided for individual activities

– [None Provided]

If none provided for group activities, but WS specified the firm

– Ex. Merrill Lynch Advisors

If only the group or team name was provided (e.g. The Durso Group)

– Write down as is

1on1 tick box

If applicable

Follow-up tick box

If applicable

Follow-up dropdown fields

Type: Always “Open”

Due Date: Next business day (unless otherwise specified)

Subject: “Follow-Up” should suffice

Text: Simply copy the Main Note Text

Assigned To: Defaults to the internal partner as the only option

Assigned To Others: As provided (free form)

Broker/Dealer

As provided

DANA-embedded FINRA-generated broker-dealer results are also accepted (e.g. Merrill vs

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED).

(DISCLAIMER: If the FINRA result is totally different from the mentioned b/d, use the b/d provided by the wholesaler)

City

As dictated.

If none, leave blank

State

As dictated.

If none, leave blank

Location

As dictated

Not to be confused with City and State. Use this field for specific floors, avenues, etc.

Group tick box

As necessary

Group follow-up tick box

1. If applicable. (Still use this even if the follow-up is intended for only one contact, but was part of a group meeting).

Group follow-up dropdown fields

Same with the individual follow-up

Interaction Type

As dictated.
*may vary in special cases

If none provided, use Face-to-Face by default:

In-Person Meetings (regardless of the # of attendees)

Face-to-Face Meeting

Virtual Meetings (Zoom, Teams Meeting, etc)

Virtual Meeting

Branch Meeting

Branch Meeting (should specifically be mentioned)

Default for Emails

Outbound Email

Default for Phone calls

Outbound Call

Incoming Calls

Inbound Call

Conference Calls

Conference Call

Seminars, Client Events

Client Event / Seminar

Dinner, Golf, Happy Hour, etc

Social / Entertainment

Interaction Purpose

Business Development by default

Should be changed if stated otherwise in the recording.

Subject

Please take note that “Meeting” should be changed if a different activity was indicated.
Frequently used are Call, Breakfast, Lunch, Dinner, Seminar, Conference Call, Zoom Meeting, Email, Golf, Drinks, Client Event, etc.

One advisor

Meeting – John Smith

Two advisors

Meeting – John Smith and Sam Jones

Three or more

Meeting – John Smith and Other FAs

Branch or meeting with an entire office, but no specific FA names were provided

Meeting – Morgan Stanley, Miami, FL

Meeting with one or two internal attendees – name/s should be included in the subject

Meeting with Lenore Reiner – John Smith

Meeting with Lenore Reiner and David Richman – John Smith

Meeting with more than two internal attendees – names should be included in note text field

Meeting – John Smith (Note text: e.g. Had Lenore Reiner, Holly Swan, David Richman as co-presenters.)

Multiple 1on1 activities

Meeting – [Rep name]

Text

Meeting Notes

(If with follow-up, add another paragraph with heading as below, tick follow-up box)

[Main note]

To-Do: (Follow-up items here) *for internal WS ffup

[Main note]

To-Do (External): (Follow-up items here) *for external WS ffup

Strategy/Fund(s)

Refer to EV Products List. Skip if none specified.

Business Probability Score

As provided

If none, leave blank

Interaction Outcome

As provided

If none, leave blank

Internal Attendee

As provided

If none, leave blank

Investment Team(s)

As provided

If none, leave blank

(Should specifically be instructed)

Topic

As provided

If none, leave blank

(Advisor Institute being the most common)

Models

As provided

If none, leave blank

Campaign

As provided

If none, leave blank

Pre-Meeting Note

As provided

If none, leave blank

Morningstar Report

Check the box only if instructed.

If not, leave box unchecked

Send Feedback Reminder

Check the box only if instructed.

If not, leave box unchecked