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On this episode of Off Road with Frank Ferraro, Frank and Andrea Cataneo sit down with capital markets veteran Seth Farbman — CEO, board member, and one of the most respected operators in the small-cap ecosystem.

If you’ve ever wondered:

👉 Who actually manages your cap table?
👉 Who protects shareholders behind the scenes?
👉 And where real deals get done (not just pitched)?

This conversation pulls back the curtain.

Seth explains why transfer agents are the “glue” of the public markets — quietly managing ownership records, safeguarding shareholder trust, and acting as the gatekeeper between issuers and investors. It’s one of the most critical — yet overlooked — functions in every IPO and public company.

But this episode goes beyond operations…

It turns into a masterclass on relationships, networking, and visibility in today’s capital markets.

As a board member of National Investment Bankers Association (NIBA), Seth shares why their conferences are different from the typical 5,000-person cattle call events — and why NIBA’s smaller, relationship-driven format consistently leads to real conversations, real partnerships, and real capital.

💡 Key themes include:

• Why transfer agents are essential to IPO success
• The real role of shareholder servicing
• How CEOs should think about conferences strategically
• Why most executives underutilize LinkedIn (huge missed opportunity)
• Building visibility before, during, and after events
• How relationships — not decks — close deals
• Why “Go Home Tired” is the only conference strategy that works

You’ll also hear:
✔ Stories from early Corporate Roadshow days
✔ Seth’s experience scaling multiple exits
✔ Behind-the-scenes insights from the NIBA board
✔ Practical tips for small-cap CEOs trying to raise capital

If you’re a CEO, IR pro, banker, service provider, or investor in the small-cap space — this is a must-listen playbook episode.


🎧 Connect with Seth

📩 Email: seth@vstocktransfer.com

🔗 LinkedIn: Reach out directly (he actually answers!)


🚀 About Off Road

Hosted by Frank Ferraro and Andrea Cataneo, Off Road features unfiltered conversations with the builders, operators, and connectors powering Wall Street and the small-cap markets.

New episodes weekly.

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