Scott Freeze: Aventura Advisor Under SEC Investigation

Huntingdon Valley, Pennsylvania financial advisor Scott Freeze (CRD# 2518935) is the subject of a pending investigation by the Securities and Exchange Commission, which alleges that he may have violated industry rules. Financial Industry Regulatory Authority records show that he is registered as a broker with Aventura Securities, having previously been registered with International Assets Advisory and Precision Securities.

Mr. Freeze’s BrokerCheck report discloses the SEC’s investigation into his conduct. Filed in June 2026, the disclosure states that the regulator has proposed an enforcement action that would allege violations of Securities Act Section 17(a), which prohibits the use of fraud in the offering or sale of securities; Exchange Act Section 10(b) and Rule 10b-5 thereunder, which prohibit deceptive practices, false statements, and insider trading in connection with the purchase or sale of any security; Investment Advisers Act Section 206 and Rule 206(4)-8 thereunder, which prohibit fraud in connection with the offering and sale of pooled investment vehicles; and Investment Company Act Section 34(b), which prohibits materially false statements and misleading omissions. The action remains pending.

A second disclosure on Mr. Freeze’s BrokerCheck report concerns a FINRA disciplinary action against him. Filed in 2015, it found that he “engaged in unethical conduct by failing to disclose to his member firm the remuneration that a company he owned received under payment for order flow (PFOF) Agreements.” He did not admit to or deny the findings, but agreed to a sanction that included a fine of $10,000 and a 3-month suspension.

According to the Financial Industry Regulatory Authority, Scott Freeze holds 28 years of securities industry experience. Based in Huntingdon Valley, Pennsylvania, he has been registered as a broker with Aventura Securities since 2025. His past registrations include International Assets Advisory, Precision Securities, GWM Group, Emerging Growth Equities, Boenning & Scattergood, Miller Tabak, Knight Equity Markets, J. Giordano Securities Group, VIE Securities, VIE Institutional Services, Villanova Securities, First Union Securities, Vanguard Marketing, Waterhouse Securities, and Raymond James & Associates. His credentials include the passage of nine securities industry qualifying exams: the Municipal Securities Principal Examination, or Series 53; the General Securities Principal Examination, or Series 24; the Registered Options Principal Examination, or Series 4; the Securities Industry Essentials Examination, or SIE; the Securities Trader Exam, or Series 57TO; the Limited Representative-Equity Trader Exam, or Series 55; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 3 state licenses. (Information current as of September 12, 2026.)

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