Last update: 3/24/2026
| Note Type | Normal – New / Normal – Existing |
| Task Description | If recording only has one meeting: FA Name, Firm – 1 FA FA1 and Others, Firm – 2 or more FA Group Name, Firm – if applicable If recording has several meetings: Coverage Date of activity. |
| Special Instructions | Any instructions or notes from the wholesaler to DAN. |
| Internal Comments | Use as needed. Any info that would help CRM entry. |
| Date & Time | Capture as dictated. Use date of recording if not provided. |
| Contacts | Capture as dictated ***Use only First Name field [None Provided] if not specified. |
| CRD | If researched, put in CRD. If none, leave blank |
| Broker/Dealer | Capture as dictated. Mostly Raymond James Advisors |
| City/State | FA Firm location – If none, use FA CRM location / FINRA research |
| Group | DON’T USE – Meetings with more than 1 FA, each FA need a separate note |
| Note Text | Use Template and fill details. If no follow-up, remove header. Capture as dictated. Clean verbatim. Use the word bank for new terms. |
| Virtual | Tick if Yes, leave unticked if No |
| Individual Meeting | Tick if Yes if 1 FA OR for 1st FA for 2 or more FAs. leave unticked if No or 2nd FA and beyond |
| PCN Subject | Select appropriate or as dictated. Select –None Provided– if none. |
| Meeting Location (City/State) | Capture as dictated. If none, use FA CRM location / FINRA research |
| Note Type | Phone Call |
| Task Description | If recording only has one meeting: FA Name, Firm – 1 FA FA1 and Others, Firm – 2 or more FA Group Name, Firm – if applicable If recording has several meetings: Coverage Date of activity. |
| Special Instructions | Any instructions or notes from the wholesaler to DAN. |
| Internal Comments | Use as needed. Any info that would help CRM entry. |
| Date & Time | Capture as dictated. Use date of recording if not provided. |
| Contacts | Capture as dictated ***Use only First Name field [None Provided] if not specified. |
| CRD | If researched, put in CRD. If none, leave blank |
| Broker/Dealer | Capture as dictated. Mostly Raymond James Advisors |
| City/State | FA Firm location – If none, use FA CRM location / FINRA research |
| Group | DON’T USE – Meetings with more than 1 FA, each FA need a separate note |
| Note Text | Use Template and fill details. If no follow-up, remove header. Capture as dictated. Clean verbatim. Use the word bank for new terms. |
| Phone Call Subject | Phone Call unless otherwise specified |
Exercise Files