Last update: 7/28/2025
| Note Type | Normal – New or Normal – Existing |
| Task Description | *Only for notes from the App If recording only has one meeting: FA Name – Firm Group Name – Firm 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. ****For Hey DAN purposes, put CSID: [CSID of FA in SF) **** |
| Date & Time | Capture as dictated. Default is DOR when not provided. Check Preferences. |
| Contacts | **Use First Name field only. Capture as dictated. If with CRM access, use the name provided in SF. **Last Name field for nickname or name otherwise listed in the CRM – for reference purposes – enclosed in parentheses. [None Provided] if not specified |
| CRD | Not required. Can input for reference from FINRA. |
| Account Name (B/D) | Capture as dictated. Leave blank if not specified. Can input for reference from FINRA/SF |
| Location | Capture as dictated. *State abbrev if only state is dictated. *City, ST if both provided. *If only city is provided, provide the state abbrev as well. *** As per Incapital manual version 2020*** |
| 1 on 1 | **Tick for meetings with more than 1 attendee when the wholesaler mentioned that they are individual meetings/have the same note or when they did not specify it as a group meeting. **Choose appropriate Sub-type based on number of attendees.** |
| Group | **Tick for meetings with more than 1 attendee when WS specifies meeting is to be logged as a group activity. |
| Event Type | Default is Meeting: **During COVID, activities conducted virtually are considered in-person. So, conference calls, webinars, Zoom meetings, etc., use Meeting as event type NOT Call. |
| Subject | As specified or use the default – SP Meeting SP Breakfast Meeting /SP Lunch Meeting or based on note context. |
| Text | Clean verbatim. Use the word bank for new terms. *First sentence when not the generic kind like, “had a meeting…, met with…” are included in the notes. Include “no follow-up notations” such as No follow-up needed. Donec rutrum diam non augue eleifend, ac imperdiet massa hendrerit. Suspendisse venenatis, est ac sagittis commodo, dolor dui venenatis nisl…… Follow-up for [Internal Name]: …… (Use the Follow-up tick box to create the follow-up note. |
| Asset Class | Structured Products (default) |
| Meeting Sub-Type | During COVID, all interactions are considered in-person. Choose only: Face-to-Face (1-4) Group (5-24) Conference (25+) Digital Meeting (Tick when specifically dictated by WS) |
| Purpose |
Leave blank if none |
| Joint Meeting (as appropriate) | Marone/Maltby Coates/Reed |
| Referral Source | Related to a campaign |
| SIMON | As requested by WS. Tick when applicable. SIMON education or training happened. |
| For Blank Recordings/Pocket Dials | Internal Comments: Blank recording/Pocket Dial (copy paste duration here) First Name Field: [Blank Recording] / [Pocket Dial] |
| Note Type | Follow-up |
| Event Type | Call *Call takes precedence if the follow-up has both call and email as task. |
| Assigned To | Internal name *** If follow-up is not for internal, leave blank. |
| Due Date | Next working day or as otherwise specified. |
| 1 on 1 | **Tick for ff-ups with more than 1 rep wherein the wholesaler mentioned that they are to be logged as 1-1s |
| Subject | SP Follow-up |
| Comments | Copy-paste follow-up note only. Use POV of whoever the follow-up is assigned to or address it to whoever will be reading the follow-up note. Remove day reference and change to actual date. |
| Assign to Other | For follow-ups other than Internal (select from drop down) |
| Referral Source | If follow-up is related to a campaign – when ticked in the main note, no need to tick in the follow-up note. |
| SIMON | Tick when requested in the follow-up notes. |
| Note Type | Tasks |
| **Used for logging “sent emails” or “left voicemail” activities **This note will also allow you to log multiple 1-1 follow-ups. |
|
| Date & Time | Actity date or follow-up due date |
| Contacts | **Use First Name field only. Capture as dictated. If with CRM access, use the name provided in SF. **Last Name field for nickname or name otherwise listed in the CRM – for reference purposes – enclosed in parentheses. [None Provided] if not specified |
| 1 on 1 | **Tick for activities with more than 1 rep wherein the wholesaler mentioned that they are to be logged as 1-1s |
| Event Type | Meeting (not used) Call *Call takes precedence if the follow-up has both call and email as task. |
| Subject | Sent Email Left Voicemail SP Follow-up |
| Text | **Clean verbatim. **For multiple, 1-1 ff-ups: Copy-paste follow-up note only. Use POV of whoever the follow-up is assigned to or address it to whoever will be reading the follow-up note. Remove day reference and change to actual date. |
| Assign to Other | For follow-ups other than Internal (select from drop down) |
| Referral Source | If follow-up is related to a campaign – when ticked in the main note, no need to tick in the follow-up note. |
| SIMON | Tick when requested in the follow-up notes. |
Exercise Files