SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 10-Q (Mark One) QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE X SECURITIES EXCHANGE ACT OF 1934 For the quarter ended June 30, 1999 TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 1-8408 THE ADVEST GROUP, INC. (Exact name of registrant as specified in its charter) Delaware 06-0950444 (State or other jurisdiction of (IRS Employer incorporation or organization) Identification Number) 90 State House Square Hartford, Connecticut 06103 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (860) 509-1000 NONE Former name, former address and former fiscal year, if changed since last report. Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes X No Indicate the number of shares outstanding of each of the issuer's classes of common stock, as of the latest practicable date. Common Stock, $.01 par value 8,922,556 Shares Class Outstanding at August 5, 1999 THE ADVEST GROUP, INC. INDEX Page No. Part I. Financial Information Item 1. Financial Statements Condensed Consolidated Balance Sheets June 30, 1999 and September 30, 1998 3 Condensed Consolidated Statements of Earnings Three and Nine Months Ended June 30, 1999 and 1998 4 Condensed Consolidated Statements of Cash Flows Nine Months Ended June 30, 1999 and 1998 5 Notes to Consolidated Financial Statements 6 Item 2. Management's Discussion and Analysis of Financial Condition and Results of Operations 9 Item 3. Quantitative and Qualitative Disclosures About Market Risk 13 Part II. Other Information Item 1. Legal Proceedings 14 Item 2. Changes in Securities 14 Item 6. Exhibits and Reports on Form 8-K 14 Signatures 16 2