Last update: 3/24/2026
| Raymond James (ARC) Team |
| Client Delivery Manager: Joshua Sagarino |
| Subject Matter Expert: Peter Iligan Specialists: Kriz Rodriguez |
| TRANSCRIPTION GUIDELINES | ||
| DANA Fields | Interpretation | Relevance |
| Type | Normal – New | Required |
| In-Person Meeting, Introductory Meeting | ||
| Zoom Meeting, Demo Presentation, Virtual Meeting, Conference Call, Introductory Call |
||
| Normal – Existing | ||
| Normal – Scheduled | ||
| Reminder: Utilize this Note Type if the Recruiter mentioned that the activity is an “Appointment” | ||
| Example: “Had an appointment with…” or “Phone call appointment with…” | ||
| Task Description | *If the recording has only one note, [FA – Firm] Example: John Doe – Merrill Lynch *If the recording has two notes from the same firm, [FA1] and [FA2] – Firm *If the recording has three or more from the same firm, [FA1] & Others – Firm If the recording has two or more notes from different firms, [FA1] & Others |
Required |
| Task Comments | Utilize only for immediate clarification with the Recruiter (User) Example: Hi [Recruiter/User], Kindly provide the missing information. Thank you! *For RJ ARC Team only* |
|
| Special Instructions | Instructions given by Recruiter to Hey DAN | |
| Internal Comments | **Received Time in DANA, if time is not specified/dictated and activity is not existing in CRM | |
| **Blank Audio/Recording or Pocket Dial: [Blank recording 0:__:__._] [Pocket dial 0:__:__._] | ||
| **Notes for other FTEs, proofer or enterer | ||
| Date and Time | ||
| DATE | Required | |
| As specified/dictated | ||
| If not specified, use recording/email date. | ||
| TIME | ||
| As specified/dictated | ||
| If not specified, use time from date received. | ||
| If only the START TIME is provided: | ||
| Input START Time and skip/leave END Time blank (no duration specified/dictated) | ||
| Input START Time and END Time (base from the duration of the activity mentioned) | ||
| Time Assumptions: | ||
| Breakfast: 8:00 AM | ||
| Lunch: 12:00 PM | ||
| Happy Hour: 5:00 PM | ||
| Dinner: 6:00 PM | ||
| Morning: 8:00 AM | ||
| Afternoon: 1:00 PM | ||
| Evening: 7:00 PM | ||
| Interval | If the WS specified meeting increments for consecutive meetings within the recording. | Not currently utilized |
| Example: 15, 30, 60 (minutes) | ||
| Contacts | Required | |
| First Name/Last Names | ||
| If spelled incorrectly, write the correct spelling (Write in the special instructions field the name dictated by the wholesaler – can also add the correct or used name) | ||
| If not specified or no contact name provided, put “[None Provided]” (Check context) | ||
| If audio is distorted or audio gap and the contact name was not captured, “[Unintelligible]”, “[Unintelligible 0:xx:xx]” or “[Audio gap]” | ||
| If Recruiter dictated two or more contacts in attendance, only the first contact profile mentioned should be captured under the Contacts field (unless recruiter specifically mentions to enter a note to each contact profile). Capture the names of all the contacts/attendees in the note text. | ||
| CRD (text field) | ||
| Not required but important (Utilize FINRA and/or CRM) | ||
| Spelled (tick box) | ||
| If name is spelled verbally or showing on email | ||
| 1 on 1 (tick box) | ||
| Not currently utilized | ||
| Firm | ||
| Skip/leave blank if not specified or check meeting note context for clues | ||
| Location | ||
| Skip/leave blank if not specified or check meeting note context for clues | ||
| Same firm / location (tick box) | ||
| Not currently utilized | ||
| Same Follow-up (tick box) | ||
| Not currently utilized | ||
| Subject | Required | |
| For New Appointments (Normal – New) | ||
| As specified/dictated – Mentioned at the start of the recording (most of the time not indicated as the Subject) |
||
| Example: | ||
| Dictated: “Met with [FA].”; Subject: Meeting with [FA] |
||
| Dictated: “Had a Zoom appointment with [FA].”; Subject: Zoom Appointment with [FA] |
||
| Dictated: “This is a phone call appointment I had with [FA].”; Subject: Phone Call Appointment with [FA] |
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| As the Recruiter specifies | ||
| If no Subject was mentioned: | ||
| 1 contact – Meeting with [Contact’s Name] | ||
| 2 contacts – Meeting with [Contact 1 and Contact 2] | ||
| 3 or more – Meeting | ||
| For Existing Appointments (Normal – Existing) | ||
| Use same existing Subject unless otherwise specified | ||
| Notes (Remarks) | ***BEFORE TRANSCRIBING THE NOTE TEXT, ALWAYS CHECK THE RECRUITERS’ PREFERENCES***
Writing Styles |
Required |
| (Activity comments here; transcribe smart clean verbatim) | ||
| Appointment Type | Required | |
| In-Person: Face-to-face activities | ||
| Phone Call: phone conversation, virtual meeting, conference call, et cetera | ||
| Event: seminar | ||
| Location (Meeting Place) | Required | |
| Place where the Recruiter and the Client met (Example: Starbucks, John Doe’s office) | ||
| *Not necessarily the branch location (City, State) | ||
| Count Cross-check | # of notes generated from the page | Required |
| Transcribing/ | Choose/Tick note for proofing/ready. | Required |
| Proofing complete |
| TRANSCRIPTION GUIDELINES | ||
| DANA Fields | Interpretation | Relevance |
| Type | Phone Call (Default) | Required |
| Call Notes, Voicemail, Left Message, Follow-up Call, Text messages, Phone Discussion | ||
| Follow-up tasks are also created under Phone Call note type | ||
| Reminder: Utilize this Note Type if the Recruiter mentioned “spoke with”, “called”, “had a call”, et cetera | ||
| Task Description | *If the recording has only one note, [FA – Firm] Example: John Doe – Merrill Lynch *If the recording has two notes from the same firm, [FA1] and [FA2] – Firm *If the recording has three or more from the same firm, [FA1] & Others – Firm If the recording has two or more notes from different firms, [FA1] & Others |
Required |
| Task Comments | Utilize only for immediate clarification with the Recruiter (User) Example: Hi [Recruiter/User], Kindly provide the missing information. Thank you! *For RJ ARC Team only* |
|
| Special Instructions | Instructions given by Recruiter to Hey DAN | |
| Internal Comments | **Received Time in DANA, if time is not specified/dictated and activity is not existing in CRM | |
| **Blank Audio/Recording or Pocket Dial: [Blank recording 0:__:__._] [Pocket dial 0:__:__._] | ||
| **Notes for other FTEs, proofer or enterer | ||
| Date and Time | ||
| DATE | Required | |
| As specified/dictated | ||
| If not specified, use recording/email date. | ||
| TIME | ||
| As specified/dictated | ||
| If not specified, skip/leave blank | ||
| If only the START TIME is provided: | ||
| Input START Time and skip/leave END Time blank (no duration specified/dictated) | ||
| Input START Time and END Time (base from the duration of the activity mentioned) | ||
| Time Assumptions: | ||
| Morning: 8:00 AM | ||
| Afternoon: 1:00 PM | ||
| Evening: 7:00 PM | ||
| Interval | If the WS specified meeting increments for consecutive meetings within the recording. | Not currently utilized |
| Example: 15, 30, 60 (minutes) | ||
| Contacts | Required | |
| First Name/Last Name | ||
| If spelled incorrectly, write the correct spelling (Write in the special instructions field the name dictated by the wholesaler – can also add the correct or used name) | ||
| If not specified or no contact name provided, put “[None Provided]” (Check context) | ||
| If audio is distorted or audio gap and the contact name was not captured, “[Unintelligible]”, “[Unintelligible 0:xx:xx]” or “[Audio gap]” | ||
| If Recruiter dictated two or more contacts in attendance, only the first contact profile mentioned should be captured under the Contacts field (unless recruiter specifically mentions to enter a note to each contact profile). Capture the names of all the contacts/attendees in the note text. | ||
| CRD (text field) | ||
| Not required but important (Utilize FINRA and/or CRM) | ||
| Spelled (tick box) | ||
| If name is spelled verbally or showing on email | ||
| 1 on 1 (tick box) | ||
| Not currently utilized | ||
| Firm | ||
| Skip/leave blank if not specified or check meeting note context for clues | ||
| Location | ||
| Skip/leave blank if not specified or check meeting note context for clues | ||
| Same firm / location (tick box) | ||
| Not currently utilized | ||
| Same Follow-up (tick box) | ||
| Not currently utilized | ||
| Group Tick Box |
Not currently utilized | |
| Subject | Required | |
| As specified/dictated – Mentioned at the start of the recording (most of the time not indicated as the Subject) |
||
| Example: | ||
| Incoming – use with Outgoing – use for |
||
| Dictated: “Spoke with [FA].”; Subject: Call with [FA] |
||
| Dictated: “Had a call with [FA].”; Subject: Call with [FA] |
||
| Dictated: “[FA] and I traded texts today.”; Subject: Traded Texts with [FA] |
||
| Dictated: “Left voice message for [FA].”; Subject: Left Voice Message for [FA] |
||
| Dictated: “Texted message to [FA].”; Subject: Text Message for [FA] |
||
| Dictated: “[FA] texted back”; Subject: Text Message with [FA] |
||
| Notes (Remarks) | ***BEFORE TRANSCRIBING THE NOTE TEXT, ALWAYS CHECK THE RECRUITERS’ PREFERENCES***
Writing Styles |
Required |
| (Activity comments here; transcribe smart clean verbatim) | ||
| Direction | Required | |
| Outgoing (Default) – Recruiter was the one who initiated the call | ||
| Incoming – FA initiated the call | ||
| Count Cross-check | # of notes generated from the page | Required |
| Transcribing/ | Choose/Tick note for proofing/ready. | Required |
| Proofing complete |
| TRANSCRIPTION GUIDELINES | ||
| DANA Fields | Interpretation | Relevance |
| Type | Memo | Required |
| Default to Memo if unsure if something is to be logged as Appointment or Phone Call | ||
| Emails and tasks (not related to calling) | ||
| Task Description | *If the recording has only one note, [FA – Firm] Example: John Doe – Merrill Lynch *If the recording has two notes from the same firm, [FA1] and [FA2] – Firm *If the recording has three or more from the same firm, [FA1] & Others – Firm If the recording has two or more notes from different firms, [FA1] & Others |
Required |
| Task Comments | Utilize only for immediate clarification with the Recruiter (User) Example: Hi [Recruiter/User], Kindly provide the missing information. Thank you! *For RJ ARC Team only* |
|
| Special Instructions | Instructions given by Recruiter to Hey DAN | |
| Internal Comments | **Received Time in DANA, if time is not specified/dictated and activity is not existing in CRM | |
| **Blank Audio/Recording or Pocket Dial: [Blank recording 0:__:__._] [Pocket dial 0:__:__._] | ||
| **Notes for other FTEs, proofer or enterer | ||
| Date and Time | ||
| DATE | Required | |
| As specified/dictated | ||
| If not specified, use recording/email date. | ||
| TIME | ||
| As specified/dictated | ||
| If not specified, skip/leave blank | ||
| If only the START TIME is provided: | ||
| Input START Time and skip/leave END Time blank (no duration specified/dictated) | ||
| Input START Time and END Time (base from the duration of the activity mentioned) | ||
| Time Assumptions: | ||
| Morning: 8:00 AM | ||
| Afternoon: 1:00 PM | ||
| Evening: 7:00 PM | ||
| Interval | If the WS specified meeting increments for consecutive meetings within the recording. | Not currently utilized |
| Example: 15, 30, 60 (minutes) | ||
| Contacts | Required | |
| First Name/Last Names | ||
| If spelled incorrectly, write the correct spelling (Write in the special instructions field the name dictated by the wholesaler – can also add the correct or used name) | ||
| If not specified or no contact name provided, put “[None Provided]” (Check context) | ||
| If audio is distorted or audio gap and the contact name was not captured, “[Unintelligible]”, “[Unintelligible 0:xx:xx]” or “[Audio gap]” | ||
| If Recruiter dictated two or more contacts in attendance, only the first contact profile mentioned should be captured under the Contacts field (unless recruiter specifically mentions to enter a note to each contact profile). Capture the names of all the contacts/attendees in the note text. | ||
| CRD (text field) | ||
| Not required but important (Utilize FINRA and/or CRM) | ||
| Spelled (tick box) | ||
| If name is spelled verbally or showing on email | ||
| 1 on 1 (tick box) | ||
| Not currently utilized | ||
| Firm | ||
| Skip/leave blank if not specified or check meeting note context for clues | ||
| Location | ||
| Skip/leave blank if not specified or check meeting note context for clues | ||
| Same firm / location (tick box) | ||
| Not currently utilized | ||
| Same Follow-up (tick box) | ||
| Not currently utilized | ||
| Group Tick Box |
Not currently utilized | |
| Subject | Defaults: Memo – [FA] (for 1 contact) Memo – [FA1] and [FA2] (for 2 contacts) Memo (for 3 or more contacts) |
Required |
| Notes (Remarks) | ***BEFORE TRANSCRIBING THE NOTE TEXT, ALWAYS CHECK THE RECRUITERS’ PREFERENCES***
Writing Styles |
Required |
| (Activity comments here; transcribe smart clean verbatim) | ||
| Count Cross-check | # of notes generated from the page | Required |
| Transcribing/ | Choose/Tick note for proofing/ready. | Required |
| Proofing complete | ||
| Example scenarios/context clues for Memo: | No clear indication if phone call or appointment.
“I followed up with Diane to make sure that she got the information that I sent her.” “Received Cass’s confidential profile. Have gotten all that submitted. Need to get back with him with some dates for a potential home office visit, and we’ll get that scheduled next.” “Reached back out to Phil Serafine. Spoken a few times. Wanted to connect between Thanksgiving and Christmas; meet face-to-face, have some coffee” “A good friend and colleague of mine, Mark Rhoades, suggested I reach out to Kevin.“ “I sent Lee an email per the external recruiter request trying to find a good date for us to get on the phone and talk.” |
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| TRANSCRIPTION GUIDELINES | ||
| DANA Fields | Interpretation | Relevance |
| Type | CRM Modification | Required |
| Updating contact profile | ||
| Task Description | *If the recording has only one note, [FA – Firm] Example: John Doe – Merrill Lynch *If the recording has two notes from the same firm, [FA1] and [FA2] – Firm *If the recording has three or more from the same firm, [FA1] & Others – Firm If the recording has two or more notes from different firms, [FA1] & Others |
Required |
| Task Comments | Utilize only for immediate clarification with the Recruiter (User) Example: Hi [Recruiter/User], Kindly provide the missing information. Thank you! *For RJ ARC Team only* |
|
| Special Instructions | Instructions given by Recruiter to Hey DAN | |
| Internal Comments | **Received Time in DANA, if time is not specified/dictated and activity is not existing in CRM | |
| **Blank Audio/Recording or Pocket Dial: [Blank recording 0:__:__._] [Pocket dial 0:__:__._] | ||
| **Notes for other FTEs, proofer or enterer | ||
| Contacts | Required | |
| First Name/Last Names | ||
| If spelled incorrectly, write the correct spelling (Write in the special instructions field the name dictated by the wholesaler – can also add the correct or used name) | ||
| If not specified or no contact name provided, put “[None Provided]” (Check context) | ||
| If audio is distorted or audio gap and the contact name was not captured, “[Unintelligible]”, “[Unintelligible 0:xx:xx]” or “[Audio gap]” | ||
| CRD (text field) | ||
| Not required but important (Utilize FINRA and/or CRM) | ||
| Spelled (tick box) | ||
| If name is spelled verbally or showing on email | ||
| Firm | ||
| As specified | ||
| Location | ||
| As specified | ||
| CRM Modification | Required | |
| Location (tick box) | ||
| Not currently utilized | ||
| Firm (tick box) | ||
| Not currently utilized | ||
| Profile | ||
| Default – Changed (HD given access only to update contact profile in CRM) ***Not showing selection in Training Queue (Leave as is – note in Internal Comments field) |
||
| Subject | N/A (DO NOT USE) – Leave blank | Not currently utilized |
| Comments | N/A (DO NOT USE) – Leave blank | Not currently utilized |
| Mobile Phone | As dictated/provided only; skip/leave blank if not given | |
| Home Phone | As dictated/provided only; skip/leave blank if not given | |
| Direct Office Phone | As dictated/provided only; skip/leave blank if not given | |
| Personal Email | As dictated/provided only; skip/leave blank if not given | |
| Nickname | As dictated/provided only; skip/leave blank if not given | |
| Count Cross-check | # of notes generated from the page | Required |
| Transcribing/Proofing complete | Choose/Tick note for proofing/ready. | Required |
CRM Entry
| 1. Navigate the magnifying glass icon at the upper right corner of the screen and click it. |
| 2. Search the contact’s name in the search bar with the format “Last Name, First Name” |
| 3. Make sure that the contact is “Recruiting Contact” right below the name. Find the three dotted line at the right end of the page and click it. |
| 4. Click on Activities |
| 5. Click on New Activity |
| 6. For ARC, we only use Appointment and Memo. Choose the appropriate one based from the note text. |
| 7. Appointment and Phone Call – Populate and update the necessary fields.
Appointment Type: Choose between In Person or Phone Call. |
| 8. Memo – Populate and update the necessary fields. |
| 9. Last step is to make sure to click Save and Mark Complete right after. |
Exercise Files