or

, etc.). Follow dictation for breaks, paragraphs, bullets, headers, etc. ALL MONETARY FIGURES START WITH $. Meeting notes will be one single paragraph unless breaks, paragraphs, bullets, headers, etc. are mentioned in the dictation EXCEPT for follow-ups. Separate follow-ups from main note with a break/paragraph.

For Meeting: i.e., Meeting with John Smith of Smith Financial in New York, NY
For Phone Call: i.e., Call with John Smith of Smith Financial in New York, NY
For Web Meeting: i.e., Web Meeting with John Smith of Smith Financial in New York, NY
For Multiple/Random Meetings: i.e., Meetings with John Smith et al.
For Profile Updates without meeting notes: i.e., Profile Update for John Smith
For Opportunity Details without meeting notes: i.e., Opportunity Details for John Smith
For Addendum: i.e., Meeting with John Smith of Smith Financial in New York, NY (Addendum)

• If date is not provided, put temporarily the date of recording and it will be for clarification

If meeting date is not provided, please put [NONE PROVIDED] on the Meeting Date label in the template of the meeting notes.
Example: Meeting Date: [NONE PROVIDED]

• If time is provided, put time as dictated by salesperson and also put it on Contact Information label in the template of the meeting notes.

NOTE: We write A.M. and P.M. in all caps with periods after the letters. No time assumptions.

Rarely, for Maiden names, enclosed in parentheses after the surname.
i.e., Dictated as Jen Smith, but in FINRA shows as Jennifer Doe
so the FA name format should be: Jennifer (Jen) Doe (Smith)

• Put [Illegible] in the respective fields if either the [Last Name] or [First Name] is not clear enough to be read from image/text.

NOTE: When they provide other business name information, put it in the template under the Contacts
Information label and put the BD/RIA as the firm per FINRA. Check the detailed reports in FINRA to make
sure of the firm names.

***Please see the TEMPLATE above for your reference***

As determined in the Second tab and should be provided all the time. Below are the DEFAULT examples that we usually use for these labels.

For an in-person meeting: As dictated | “advisor meeting” | “in person” | “in-person meeting” | “in person / advisor meeting” | “advisor meeting / in-person meeting” vice versa”
= Activity Type: Appointment | Activity Subtype: Advisor Mtg – Follow Up

For a call: If only mentioned “Phone Call” or “Call”
= Activity Type: Phone Call | Activity Subtype: Scheduled Meeting

For a virtual meeting/call: If only mentioned “Teams / Zoom/ Virtual meeting” | “Web call”
= Activity Type: Appointment | Activity Subtype: Web Meeting

If not mentioned, put [NONE PROVIDED] and it will be for clarification. i.e. Activity Type: [NONE PROVIDED] | Activity Subtype: [NONE PROVIDED]

NOTE: We only tick Group check box for multiple contacts and then
SAVE & CLONE for each contact name in the fields to indicate for that activity. This was a request by the Siebel team for reporting purposes.

Please be careful of the dashes not to make it look like a longer dash, so please make it a shorter dash.

Please be careful of the line spacing, don’t make any extra spaces.

NOTE: Don’t include the salesperson in the count.

NOTE: Don’t include instructions with word that include “topics”.
Any instructions/request that says about “topics” should be placed on the Topics label instead.