Executive Vice President, General Counsel,
and Chief Risk Officer
Seth Miller has been with Cambridge since 2008 and currently serves as a member of the Board of Directors and Executive Council. Miller’s primary focus has been on managing risk in an increasingly regulated environment, managing all internal and external legal affairs for Cambridge, along with overseeing the firm’s enterprise approach to risk management. He provides legal guidance and oversight to a team of professionals focused on supporting the growth of Cambridge in connection with the firm’s broker-dealer, insurance, and registered investment advisor operations. Miller is directly responsible for Cambridge’s Legal, Risk Management, and Advocacy and Supervision Teams. His executive responsibilities also include implementing the firm’s strategic objectives while identifying risk matters for Cambridge and its independent financial advisors, which includes working directly with the Compliance Department and providing legal and regulatory support to departments within Cambridge.
Miller’s legal specialization includes securities and investment advisory business, corporate governance, and litigation. His prior experience includes working for the international law firm, Shook, Hardy & Bacon L.L.P. In 2018 he was recognized as a ‘40 Under 40’ honoree by InvestmentNews magazine. Miller earned a Bachelor of Science degree in finance and management from Iowa State University and a Juris Doctor degree from the University of Iowa College of Law. Additionally, he holds the FINRA Series 7, 24, and 66 licenses and is licensed to practice law before the Iowa and Missouri state bars.