Last update: 9/4/2025
| DANA FIELD | CLASSIFICATIONS & REQUIREMENTS | EXTRA DETAILS | |||||
| Note Type | Normal – New | DEFAULT | |||||
| Normal – Existing | Check the wholesaler’s SF calendar for scheduled activities | Check Oculus for existing activities under Engagement | |||||
| Email Return – Handwritten | Contain images of handwritten notes | ||||||
| Normal – Existing (Handwritten) | |||||||
| Normal – New (Handwritten) | |||||||
| Regional Manager Preferences | Anthony Knight Bobby Nelms Cenk Toroslu Chris Carrelha Damien Ramondo Elizabeth Anderson Grant Kunkel Greg Handrahan Jason Stevens Jeffrey Kelly Marc Della Pia Mark Fritz Patrick Denis Phil Hemery Robert Forrester Sarah Hartzke William Marsalise |
Brandon Born Daniel Melehan Dan Stack Daryl Northrop Eric Indovina Kevin Dausch Taylor Krofcheck Terry Harris Tony Kafouros Jay O’Connor |
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| Task Description | ✓ Used if it’s Hey DAN app only (pink box, white headset) | 1 advisor = FA name 2 advisors = 1st FA and 2nd FA → ex: John Smith and Sam Smith 3 or more = 1st FA and Others → ex: Sam Smith and Others Multiple notes in 1 recording = Multiple Activities |
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| Special Instructions (SI) | ✓ WS to HD specialist | ||||||
| Internal Comments (IC) | ✓ HD specialist to HD specialist | ||||||
| Date and Time | ✓ If not specified, use current/recording date.
Start time: Leave blank if not specified |
BREAKFAST = 8:00 AM NOON/LUNCH = 12:00 PM DINNER = 6:00 PM HAPPY HOUR = 5:00 PM |
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| Contacts (Advisors) |
✓ Just use the First Name field. Input the name as it appears on FINRA/SalesForce regardless if the WS dictates just the nickname of the advisor. Please include the middle initial if available.
Dictated: Bob Howard |
Attendees that have NO PROFILES in FINRA/Oculus, include the name/s in the note text, not in the contact/attendee list Example: Maria Smith has no profile Maria Smith attended the meeting. The meeting … |
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| Organization & Location | ✓ Leave blank if not specified. Check meeting notes context for clues. | ||||||
| Group | ✓ Tick box if note has 2 or more advisors | DO NOT USE the follow-up field | |||||
| Activity Type | In Person Meeting → DEFAULT
Call → call, conference call, voicemail Email → thank-you notes, emails Video Conference → virtual meeting, Zoom, Skype, Teams, WebEx |
Activity Type: Call Title: Phone Call (default for call, unless specified) Title: Phone Conversation (if mentioned) Activity Type: In Person Meeting |
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| Purpose | ✓ Relationship Building/Client Discovery → DEFAULT
Advisor Seminar NOT Purpose: Follow Up |
As part of a group meeting and dinner… Purpose: Branch/Team Meeting Title: Dinner Meeting Two or more advisors, SAME FIRM Two or more advisors, DIFFERENT FIRM/STATE → even if it’s a group fishing outing or any event, as along as they’re from different firms, it’s still Relationship Building/Client Discovery Trigger words: |
“Voicemail this morning. Following up on muni high quality prospect.” Purpose: Voicemail/Callback Product: Tag SMA High Quality Muni Bond Booking golf for next week. |
Prospecting or Follow-up from a meeting
Gave a quick update on tax aware. Please tag retirement. Purpose: COI → Center of Influence Gregg Marano, who is the manager of the Smithtown branch as well as a COI, was in attendance via Zoom. This is after the 3-for-30 meeting …predicated on a group lunch we’re going to do on June 22nd around Professional Referral Method. |
“Follow-up call” and then “…scheduled a Zoom meeting to walk through the Digital Coach.” Purpose: Follow Up As part of a group meeting, I met with Anthony Polidoro of Citibank and his end client, Jerry Bishop… Purpose: Relationship Building/Client Discovery DAMIEN RAMONDO SECOND NOTE (tick 1-on-1 field box) |
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| Title | ✓ REQUIRED field ✓ If dictated one-on-one meeting, the title is One-on-One ✓ If mentioned “one-on-one” → can be put as Title as well ✓ “One-on-one in person” or “one-on-one in person meeting” → Title: One-on-One ✓ In Person Meeting (only) → Meeting ✓ For Phone Call Attempt: Phone Call – Attempt # (One, Two, Three…) |
Breakfast Meeting / Lunch Meeting / Dinner Meeting Conference Call Digital Coach Campaign Discovery Meeting FA Call FA Group Meeting FA Meeting FA Virtual Meeting Face-to-Face Fishing Follow-up Call Follow-up Email Follow-up Phone Call Golf / Golf Outing Group Meeting Group Zoom Meeting Happy Hour Lunch / Lunch Meeting Office Meeting One-on-One Outbound Phone Call Propose Phone Call Phone Call – Digital Coach Phone Conversation Phone Meeting Team Call Team Meeting Team Phone Call Telephone Call Telephone Meeting Video Conference Virtual Call Virtual Meeting Voicemail Zoom Meeting Zoom Conference |
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| Notes | ✓ No need to type AB products in initial caps. Competitor product, however, should always be in initial caps. AB literature pieces should be typed in initial caps.
e.g. |
Also in the meeting were Amanda Manupella, Ian Andrews, and April Devoe. → DON’T INCLUDE in the Contact/Attendee List if the attendees have NO PROFILE in FINRA and/or Oculus → ex: client associates
Include the follow-up or next steps in the main note. See samples below: Met with Ken. Gave update on high income. RM Follow-up: (if it’s for the RM, fill in the Assigned To field as well) If there are no dictated notes, send clarification to the RM as this would not be a complete meeting as per our POC (May 16, 2022) |
Other Attendees: [FA Name #1] [FA Name #2] Time format: 12:00 → o’clock is used if pertains to positions Date format: 4/20 of 2023 → 4/20/2023 [FA name], analyst who runs their models…-→ add the FA name in the note text to complete the sentence Include in the note text: |
Creative Disruption, Raise to Zero. Spoke with… → topics or products not found on the list are placed in the note text.
Meeting was scheduled to go over large cap growth SMA and strategic research balance SMA. Stephen was not able to make the Zoom. → No need to tag products since they were not directly discussed EMAILED NOTE: EMAILED NOTE: (monetary format) |
RC Follow-up: He is going to send us an Eaton Vance Parametric 2-to-7 year muni portfolio to analyze, compared to tax aware, so just need Connor to follow up on that. *can move the follow-up at the bottom → He is going to send us an Eaton Vance Parametric 2-to-7 year muni portfolio to analyze, compared to tax aware RC Follow-up: Just need Connor to follow up on that. RC Follow-up: Get the bond analysis. Set up a call for Wednesday, next week. Also, Terry, follow-up is to send the muni talking points. → can include RM follow-up in one note |
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| Topics and Products Discussed | ✓ N/A → if it’s a general term or no specific topics/products discussed
✓ …where we had Ken Haman present on the topic of “How to Explain Your Value.” → RM should mention ABAI or Advisor Institute for it to be tagged as ABAI – General, but if not, N/A for topics discussed ✓ Eldercare checklist idea → RM should mention ABAI or Advisor Institute to tag ABAI – General Don’t tag Analytics – Bond Analysis Don’t tag Don’t tag??? → there are two high quality in the selection Don’t tag “Product discussed long/short and fixed income” or “taxable fixed income” → fixed income, it’s an asset class retirement → does not necessarily mean Custom Retirement Strategies → usually as Purpose: Retirement …and positioning in volatility going forward. → only a business term (not a product, not specified) …a muni high… high yield → should mention as high yield muni custom platform → don’t tag custom muni Empower (should be specific) limited duration (not specific) municipal landscape → not the same with MuniLand muni market → not a product/literature …our market outlook → it should say Capital Markets Outlook or capital market viewpoints for CMO total return (general term) yield-to-worst → not a literature |
✓ Focus: Motivating clients to action → ABAI – How to Get Clients to Take Action Now ✓ We talked about how to get clients to take action, talked… → ABAI – How to Get Clients to Take Action Now ✓ “Please tag…” can be replaced in the note text as “Discussed:” ✓ muni income California → California Portfolio only ✓ Topic: High quality, tax aware municipals. → SMA High Quality Muni Bond, Tax Aware Fixed Income Opportunities Portfolio ✓ …all the different ETFs: YEAR, TAFI, even the ones we just came out with. → just tag the ones mentioned, YEAR and TAFI ✓ tax aware should be mentioned to tag the product ✓ custom muni PAS platform / PAS custom muni platform ✓ high-net-worth muni ladder 1-to-10 year or 1-to-5 year ✓ we ran an analysis → don’t tag (it should be specific) ✓ Even if the products are in the follow-up note, tag them as well Topics/Description: AllianceBernstein Advisor Institute (ABAI) muni mutual funds in national, intermediate, and high yield/income: No need to tick ABAI – General if there’s another literature or value add mentioned in the note. |
Products: AB Advisor Institute → ABAI – General AB income → Income Fund (AB Income) AB growth → Growth Fund AB high income → High Income Fund AB large cap growth CIT → ABCITS-AB US Large Cap Growth ABI → Income Fund (AB Income) bond inflation fund → Bond Inflation concentrated growth conversation → Concentrated Growth Fund concentrated growth SMA → SMA Concentrated Growth concentrated international growth → Concentrated International Growth Portfolio core opportunities portfolio → Core Opportunities Fund custom muni → SMA Custom Muni general BAI / general TAI → ABAI – General global bond → Global Bond Fund high div / HIDV → US High Dividend ETF high income / high income taxable → High Income Fund high quality muni / high quality income / HQ muni → SMA Municipal High Quality Portfolio high yield ETF / new high yield ETF → High Yield ETF high income muni / high yield muni → High Income Municipal Portfolio inflation muni / muni inflation fund → Municipal Bond Inflation intermediate diversified / intermediate muni → Intermediate Diversified Municipal Portfolio large growth / large cap growth → Large Cap Growth Fund large cap growth SMA → SMA US Large Cap Growth large cap growth CIT → ABCITS-AB US Large Cap Growth limited duration high income / LDHI → Limited Duration High Income Portfolio → Short Duration High Yield Portfolio limited duration tax aware SMA → SMA Tax Aware Limited Duration long/short (US long/short) → Select US Long/Short Portfolio low v / low vol ETF → US Low Volatility Equity ETF muni ladder/s → SMA Muni Ladder muni income / muni income SMA → SMA Municipal Income muni inflation / muni inflation fund → Municipal Bond Inflation muni high income → High Income Municipal Portfolio muni high quality /municipal high quality SMA → SMA High Quality Muni Bond muni national mutual fund → National Portfolio National muni / muni national → National Portfolio relative value → Relative Value Fund short duration income → Short Duration Income Portfolio SMA in strategic research → SMA Strategic Research small cap growth → Small Cap Growth Portfolio strategic research balanced → SMA Strategic Research Balanced strategic research equity → SMA Strategic Research tax aware (no SMA) → Tax Aware Fixed Income Opportunities Portfolio tax aware muni/mutual fund (mutual fund is different from ETF) → Tax Aware Fixed Income Opportunities Portfolio tax aware SMA / tax aware muni SMA → SMA Tax Aware Fixed Income tax aware SMA and mutual fund → SMA Tax Aware Fixed Income and Tax Aware Fixed Income Opportunities Portfolio Intermediate SMA → SMA Municipal Intermediate Duration |
0/100 model → Dynamic Multi-Asset Income 0/100 60/40 income model on MWP / 60/40 allocation → Dynamic Multi-Asset Income 60/40 ABAI Elder Care → ABAI – General Abbie / AbbieOptimizer → AbbieOptimizer Portfolio Scorecard ABQIX → Total Return Bond Portfolio ATTYX → Tax Aware Fixed Income Opportunities Portfolio BrightScope reports for prospecting → BrightScope – Plan Prospecting List Cal / Cal muni / Cal muni income / Cal muni fund / mutual fund Cal muni (product not specifically identified) → California Portfolio Cal intermediate → Intermediate California Municipal Portfolio CG → Concentrated Growth Fund Digital Coach 2.0 Campaign → ABAI – AB Digital Coach FWD (mentioned as forward) → AB Disruptors ETF (FWD) General Advisor Institute conversation → ABAI – General high yield ETF → High Yield ETF (HYFI) HYFI (sounds like high fly) / high yield fixed income → High Yield ETF hypothetical form → Analytics – Hypo LCG → Large Cap Growth Fund L/S → Select US Long/Short Portfolio MISHX (AB Municipal Income Shares) → SMA Municipal Income muni/municipal bond analysis → Analytics – Bond Analysis MuniLand MWP / MWP models/income models → Model Wealth Portfolio (MWP) New Business Acquisition (should mention AB, Advisor Institute, or ABAI) → ABAI – General OH → Ohio Portfolio PAS muni SMA → just tag PAS PAS platform → PAS Premium Access Strategies → PAS select equity → Select US Equity Fund short duration high quality → Short Duration High Yield SCG → Small Cap Growth Portfolio SGT → Sustainable Global Thematic Fund SR → strategic research SRB → strategic research balanced SOC → Standard of Care → ABAI – Higher Standard (Standard of Care) Standard of Care → ABAI – Higher Standard (Standard of Care) Standard of Care 3.0 → ABAI – Standard of Care 3.0 sustainable global right now → Sustainable Global Thematic Fund sustainable global thematic mutual fund → Sustainable Global Thematic Fund TA → tax aware TAFI → Tax Aware Short Duration Municipal ETF The Professional Referral Method → ABAI – Prof. Referral Method Transition to Advisory → ABAI – Transition to Advisory US thematic / US sustainable thematic → Sustainable US Thematic Portfolio (US) Virginia muni / Virginia muni national / Virginia muni mutual fund → Virginia Portfolio YEAR (ultra short ETF) → Ultra Short Income ETF “Product discussed was tax aware California SMA.” |
ABAI – Managing the Hard Conversation ABAI Emotional Clients Hard Conversation, Tatum (Scott Tatum) ABAI Hard Conversation, Tatum (Scott Tatum) ABAI Managing Emotional Clients Hard Conversation, Tatum (Scott Tatum) ABAI Managing Hard Conversation, Tatum (Scott Tatum) AB Lifetime Income Strategy → Lifetime Income Strategies ABTYX → AB High Income Municipal Portfolio CPA Referral Method → ABAI – Prof. Referral Method Generating Referrals from Plan Sponsors → ABAI – Inspiring Referrals from Clients National-based strategies → National Portfolio New York specific strategies → New York Portfolio bond hold/sell analysis → Analytics – Bond Analysis She’s going to send over a couple of bond portfolios for us to do an analysis on. → Analytics – Bond Analysis “tax aware SMAs” → just tag SMA Tax Aware Fixed Income DON’T TAG ANYMORE tax aware fund fact sheet and tax aware SMA product brief, both short duration and the regular tax aware portfolio → SMA Tax Aware Limited Duration and Tax Aware Fixed Income Opportunities Portfolio “The only question, Wes, was the portfolio value shows $826,000 and the muni analysis shows $764,000, so trying to figure out where the difference is between the two portfolios.” → don’t tag Analytics – Portfolio Analysis |
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| Employees Attended SPM / AB Attendee |
✓ Put their COMPLETE NAME in the field ✓ List down in this field the AB specialists, Senior Portfolio Managers (SPM), and/or other AB reps that are in attendance. ✓ Also put their name in the note text with their title, if mentioned. No need to put in the note text, just fill in the field |
Common AB Attendees: Benjamin Ruegsegger Brian Resnick Dan Roarty Dan Stack Daryl Clements Douglas Peebles Erin Bigley Etienne Rougier Ivan Rudolph-Shabinsky Ken Haman Matthew Wrzesniewsky Russ Corby Sarah Tunnell Scott Tatum Terry Hults Walt Czaicki |
Ken Haman → Managing Director, The Advisor Institute at AllianceBernstein
AJ Rivers |
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| Competitor Products Discussed | ✓ Firm + specific product (use the Enter button if there’s more than one) → can include the ticker if it’s a specific product | If there’s too many → Competitor products – had multiple results (or put in IC) | |||||
| Next Steps (Follow-up) |
✓ N/A (DEFAULT) → if there’s no follow-up, next steps, or task mentioned | ✓ If there are multiple tasks, base the Next Steps on the first task mentioned.
✓ Email Analytics → send EMAIL analysis/comparison of products |
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| Next Steps Due Date | ✓ If it’s still early, use the current date ✓ 7 PM EST → NEXT BUSINESS DAY |
Date of creation of the activity or if time exceeds 7:00 PM (ET), use the NEXT BUSINESS DATE from the date of the received date | |||||
| Assigned To | ✓ RC (internal) | ||||||
| Quality Contact | Default is Yes except for Emails | ||||||
| FOLLOW-UP | ||||
| Note Type | ✓ Follow-up
✓ “Add new meeting” → Follow-up meeting (Elizabeth Anderson) |
Used also for Future Dated Events/standalone follow-up | ||
| Contact | FA Name | |||
| Activity Type | Call – In Call – Out Other Live Send QC Follow Up |
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| Assigned To | RC (internal) | |||
| Due Date | ✓ Next business date or as dictated | |||
| Title/Subject | As dictated or based on the content of the note. | |||
| Note/Comments | As dictated | ✓ Remove: Add new meeting, Zoom, Team ✓ Put TIME in the note text as well |
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| Status | ✓ Not Started (Default) | |||
| Priority | ✓ Normal (Default) | |||
| Assigned to Other | RM (salesperson) or others | Future Dated Meetings of Elizabeth Anderson Assigned to Other: Elizabeth Anderson |
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| OPPORTUNITY | ||||
| Note Type | Opportunity | |||
| Special Instructions | Any update/instructions | |||
| Date | Same as Expected Follow-up Date | |||
| Notes | Don’t put anything in the note text, unless it’s a description or analysis of the opportunity | |||
| Record Type | Advisor Agreement → DEFAULT | |||
| Opportunity Name | As dictated | As specifically dictated by the RM | ||
| Opportunity Type | As dictated | |||
| Stage | As dictated
Gathering/Analyzing Data → DEFAULT |
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| Opportunity Primary Contact | Advisor | |||
| Expected Follow Up | Next business day | RM would mention the date → follow-up one week from now… | ||
| Close Date | Date created | |||
| Products | As dictated | |||
| Amount | As dictated | $1,000,000 format | ||