Select the correct Type:
Normal – New (Visit, met with, walk-through, held a seminar, etc.)
Phone Call (Incoming & Outgoing calls, voicemails or left messages, conference calls where no video capability was used)
Video Call (Zoom, webinar, MS Teams, virtual meeting or other video capability was used)
Email Log: (only email communication)

If the WS did not specify or no clues to know if it’s an in person meeting, we default to Normal-New

For Hey DAN app note types:

Activity with one FA:
[FA Name – Firm] – [John Smith – ABC Company]
[FA Name – Firm – Team/Group] – [John Smith – ABC Company – DEF Team] or [John Smith – DEF Group – ABC Company] depends in the order of team/group and firm dictation

Activity with two FAs:
[FA 1 & FA2 – Firm] – [John Doe & Jane Smith – ABC Company] for FAs from the same firm
[FA 1 & FA2 – Firm – Team/Group] or [FA 1 & FA2 – Team/Group – Firm] for FAs from the same firm and same team/group
[FA 1 & FA2] – [John Doe & Jane Smith] for FAs from different firms

Activity with Multiple FAs:
[FA 1 and other FAs] – [John Doe & other FAs]

As specified. If not provided, leave BLANK

For Inbound phone calls, put the start time, then put the entire duration in the Note Text (see Note Text row)

As found in FINRA (First and Last Name only).

If other FT Employee/s attended the activity, then put FT in the Firm field

If other FT Employee is not in MS Dynamics, and name was not mentioned in the notes, put it in the notes as Other FT Attendee or indicate which SIM (Specialist Investment Manager) the FT employee is from:

Example: Lexington Attendee: [Name]

As provided by the SAC. If none provided, leave the result yielded by your FINRA search in DANA

If a group/team name is provided, along with the registered firm, capture both separated by a dash (-) following the order of their dictation, whichever comes first.
Example: He’s from the Vuecrest team, Ameriprise = Vuecrest – Ameriprise/Vuecrest Wealth Management – Ameriprise

As provided by the SAC or check context of the note. Do not include FT attendees as a basis for Group Meeting.

Default: One-on-One Meeting

For activities with interaction with the contacts, default to Value-Added Contact

For left message, voicemail, email sent (scheduling/attempt), default to Non-Value-Added Contact

Sample time plotting when duration is provided by the SAC (for Inbound calls):
Time: 8:00AM – 8:10AM

Smart verbatim.

For monetary values/figures, the dollar sign ($) is only added if it’s specified. 

Required for a ‘Phone Call’ note type.

Default if not specified: Outbound

For Value-Added Contact Result: Specific topic provided by SAC.
If no topic and product was discussed, default: No Topic Discussed

If a product(s) was discussed/tagged, tick (None)

For Non-Value-Added Contact Result: Specific topic provided by SAC.
If no topic and/or product was discussed, tick (None)

Specific product or as provided by the WS to be associated with the activity. Add as found in MS Dynamics.

If there is no product tagging, tick (None)

If the product is only mentioned in the follow-up note, do not tag or add it – only if the product is mentioned in the main notes.

If not in MS Dynamics, do not add

Capture ticker symbols.

Example: BUFR (for FT Vest Laddered Buffer ETF)

Task from [SAC]:

[Follow-up notes]

*We omit the ‘Task from [SAC]:’ if the SAC assigns the task to himself/herself.

Product Updates (w/ tagged product)

Value Add/FA Training (no products/topics or if only the topic is tagged)